81 FR 21147 — Amendment to and Partial Revocation of Prohibited Transaction Exemption (PTE) 84-24 for Certain Transactions Involving Insurance Agents and Brokers, Pension Co… ERISAFinal Rules (FR)Apr 8, 2016related by meaning
re permitted under the exemption and revises the disclosure and recordkeeping requirements of the exemption.
Executive Order 12866 and 13563 Statement Under Executive Orders 12866 and 13563, the Department must determine whether a regulatory action is “significant” and therefore subject to the requirements of the Execu…
ERISACourt RulingsNov 10, 2015
… of this matter” by
failing to comply with the regulations at 29 C.F.R. § 2560.502(c)(2)(e) - (f). (Memo in Support at
2 Respondent appears to be arguing that the May 20, 2015 letter s hould be considered the applicable Notice of Intent
to Assess a Penalty .
3
On September 11, 2015, this Office faxed counsel for Respon…
90 FR 3667 — Prohibited Transaction Exemption (PTE) 2002-51 To Permit Certain Transactions Identified in the Voluntary Fiduciary Correction Program ERISAFinal Rules (FR)Jan 15, 2025related by meaning
e use of the SCC and suggested that the Department should allow self-correctors to choose whether (a) to provide notice to interested persons (but
not to EBSA) or (b) make the plan contribution. After considering these comments, the Department has not made this change. Self-correctors have a streamlined procedure for s…
DOL Office of Administrative Law Judges — USDOL, EMPLOYEE BENEFITS SECURITY ADMINISTRATION v. PLAN ADMINISTRATOR, WHITE MOUNTAIN APACHE TRIBE RETIREMENT SAVINGS AND 401(K) PROFIT SHARING PLAN ANNUAL RE… ERISACourt RulingsNov 30, 2016
…uity under the PPA [Pension
Protection Act] must be construed by E BSA in favor of the Tribe.” WMAT Memo in Supp. at 10. Respondent‟s Cross-motion further requests the Court find WMAT is “not required to file an
IQPA report as part of its operational compliance requirements under the PPA transition rules
prior to the d…
81 FR 21181 — Amendment to and Partial Revocation of Prohibited Transaction Exemption (PTE) 86-128 for Securities Transactions Involving Employee Benefit Plans and Broker-De… ERISAFinal Rules (FR)Apr 8, 2016related by meaning
Document Headings
Document headings vary by document type but may contain
the following:
the agency or agencies that issued and signed a document
the number of the CFR title and the number of each part
the document amends, proposes to amend, or is directly
related to
the agency docket number / agency internal file numb…
90 FR 28004 — Removal of Interpretive Bulletins Relating to the Employee Retirement Income Security Act of 1974 ERISAFinal Rules (FR)Jul 1, 2025related by meaning
… fact that regulation 2550.408c-2 replaces Interpretive Bulletin 75-6”).
Back to Citation 7.
41 FR 3289 (Jan. 22, 1976).
Back to Citation
8.
43 FR 47713 (Oct. 17, 1978). Congress subsequently ratified Reorganization Plan No. 4 in 1984. See Sec. 1, Public Law 98-532, 98 Stat. 2705 (Oct. 19, 1984).
Back to Citation
[FR…
89 FR 32346 — Amendment to Prohibited Transaction Exemptions 75-1, 77-4, 80-83, 83-1, and 86-128 ERISAFinal Rules (FR)Apr 25, 2024related by meaning
t. Life Ins. Co.
v.
Harris Trust & Sav. Bank,
510 U.S. 86, 98 (1993).
Back to Citation
40.
See BancOklahoma Mortg. Corp.
v.
Capital Title Co., Inc., 194 F.3d 1089 (10th Cir. 1999) (stating that McCarran-Ferguson Act bars the application of a Federal statute only if (1) the Federal statute does not specifically relate…
88 FR 76032 — Proposed Amendment to Prohibited Transaction Exemptions 75-1, 77-4, 80-83, 83-1, and 86-128 ERISAProposed Rules (FR)Proposed Nov 3, 2023related by meaning
nd that the Department may request such information.
(4) Failure to maintain the required records necessary to determine whether
( printed page 76045) the conditions of this exemption have been met will result in the loss of the exemption only for the transaction or transactions for which records are missing or have no…
89 FR 32260 — Amendment to Prohibited Transaction Exemption 2020-02 ERISAFinal Rules (FR)Apr 25, 2024related by meaning
4.
See John Hancock Mut. Life Ins. Co.
v.
Harris Trust & Sav. Bank,
510 U.S. 86, 98 (1993).
Back to Citation
105.
See BancOklahoma Mortg. Corp.
v. Capital Title Co., Inc.,
194 F.3d 1089 (10th Cir. 1999) (stating that McCarran-Ferguson Act bars the application of a Federal statute only if (1) the Federal statute doe…
89 FR 32302 — Amendment to Prohibited Transaction Exemption 84-24 ERISAFinal Rules (FR)Apr 25, 2024related by meaning
r” a State law is to hinder its operation or “frustrate [a] goal of that law.”
Humana Inc. V. Forsyth,
525 U.S. 299, 308 (1999).
Back to Citation
113. Reorganization Plan No. 4 of 1978 (5 U.S.C. App. 1 (2018)) generally transferred the authority of the Secretary of the Treasury to grant administrative exemptions under…
81 FR 21139 — Amendment to Prohibited Transaction Exemption (PTE) 75-1, Part V, Exemptions From Prohibitions Respecting Certain Classes of Transactions Involving Employee Be… ERISAFinal Rules (FR)Apr 8, 2016related by meaning
under section 4975 of the Code] is hereby transferred to the Secretary of Labor”).
Back to Citation
9.
29 CFR 2550.408b-2(e); 26 CFR 54.4975-6(a)(5). Back to Citation
10.
See
PTE 86-128, Exemption for Securities Transactions Involving Employee Benefit Plans and Broker-Dealers, 51 FR 41686 (November 18, 1986), as ame…
90 FR 28007 — Selection of Annuity Providers-Safe Harbor for Individual Account Plans ERISAFinal Rules (FR)Jul 1, 2025related by meaning
…plicable policies in those guidelines.
J. Review Under Additional Executive Orders and Presidential Memoranda
ERISACourt RulingsJan 20, 1998
… be required to
pay the other the full value of the chattel." Restatement
(Second) of Torts § 222A (1965). While the actions that
Respondent took with the Plan's assets certainly appear to fit
ERISADOL Technical ReleasesFeb 5, 2016
…nstitution of higher education (as that term is defined for purposes of the Higher Education Act of 1965) and an issuer.(7)
ERISACourt RulingsApr 12, 1995
…ccept as adequate to support a
conclusion." Consolo v. Federal Maritime Comm'n., 383 U.S.
607, 619 (1965), citing Consolidated Edison Co. v. Labor
Board, 305 U.S. 197, 229 (1938). "This is something less than
the weight of the evidence, and the possibility of drawing two
inconsistent conclusions from the evidence does …
76 FR 66637 — Prohibited Transaction Exemption Procedures; Employee Benefit Plans ERISAFinal Rules (FR)Oct 27, 2011related by meaning
to Citation
1.
Section 102 of Presidential Reorganization Plan No. 4 of 1978 (3 CFR part 332 (1978),
reprinted in
5 U.S.C. app. at 672 (2006),
and in 92 Stat. 3790 (1978)), effective December 31, 1978, generally transferred the authority of the Secretary of the Treasury to issue administrative exemptions under section…
85 FR 59132 — Pension Benefit Statements-Lifetime Income Illustrations ERISAFinal Rules (FR)Sep 18, 2020
…ercent of the cohort born between 1936 and 1945, and 30 percent of the cohort born between 1956 and 1965, are projected to fall short of the 75 percent replacement rate at age 70.[37]
Further, a study conducted by the National Bureau of Economic Research found that while the replacement rate has not worsened over time …
81 FR 20946 — Definition of the Term “Fiduciary”; Conflict of Interest Rule-Retirement Investment Advice ERISAFinal Rules (FR)Apr 8, 2016related by meaning
-21(d).
Back to Citation
48.
Reorganization Plan No. 4 of 1978 (5 U.S.C. App. (2000)).
Back to Citation
49.
Id. at section 102.
Back to Citation
50. Reorganization Plan, Message of the President.
Back to Citation
51.
See, e.g., Public Citizen
v.
Dep't of Health and Human Servs.,
332 F.3d 654, 668 (2003) (the ratif…
82 FR 7336 — Proposed Best Interest Contract Exemption for Insurance Intermediaries ERISAProposed Rules (FR)Proposed Jan 19, 2017
…i-go-partner?t=diversity-market.
Back to Citation
62.
See
Market Synergy Preliminary Injunction Memo filed June 17, 2016, in the United States District Court for the District of Kansas.
Back to Citation
63.
85 FR 82798 — Prohibited Transaction Exemption 2020-02, Improving Investment Advice for Workers & Retirees ERISAFinal Rules (FR)Dec 18, 2020related by meaning
ired notice and comment rulemaking, citing
Am. Min. Cong.
v.
Mine Safety & Health Admin.,
995 F.2d 1106, 1112 (D.C. Cir. 1993), and
Chao
v.
Rothermel, 327 F.3d 223, 227 (3d Cir. 2003). The Department disagrees that the factors cited in these cases are satisfied. In this regard, there would be an adequate legislative ba…