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, 2016★ strong match
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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
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related to
the agency docket number / agency internal file numb…
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, 2016★ strong match
proposal and updated economic analysis. The first proposed amendment to the rule was withdrawn on April 20, 2015,
see80 FR 21927.
Back to Citation
10. Subsequent to the issuance of these regulations, Reorganization Plan No. 4 of 1978, 5 U.S.C. App. (2010), divided rulemaking and interpretive authority between the Secr…
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, 2023★ strong match
… Certain Transactions Between Investment Companies and Employee Benefit Plans, 42 FR 18732 (Apr. 8, 1977).
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6.
80 FR 22021 — Proposed Amendment to and Proposed Partial Revocation of Prohibited Transaction Exemption (PTE) 86-128 for Securities Transactions Involving Employee Benefit P… ERISAProposed Rules (FR)Proposed Apr 20, 2015related by meaning
s) earned in connection with the transactions covered by the exemption.
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7.
67 FR 64137 (October 17, 2002).
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8.
See Advisory Opinion 2011-08A (June 21, 2011).
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9.
This proposal would move the definitions from Section I to Section VII. The other sections are re-ordered…
90 FR 28004 — Removal of Interpretive Bulletins Relating to the Employee Retirement Income Security Act of 1974 ERISAFinal Rules (FR)Jul 1, 2025★ strong match
… and actually incurred by such person in performing duties with respect to the plan.[5] However, in 1977, the Department issued a final regulation under section 408(c)(2) at 29 CFR 2550.408c-2 that replaced Interpretive Bulletin 75-6.[6]
Accordingly, the Department believes that Interpretive Bulletin 75-6 is no longer …
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
…ad refer to “Code section.”
Executive Order 12866 (Regulatory Planning and Review), Executive Order 14094 (Modernizing Regulatory Review), and 13563 (Improving Regulation and Regulatory Review)
88 FR 76004 — Proposed Amendment to Prohibited Transaction Exemption 84-24 ERISAProposed Rules (FR)Proposed Nov 3, 2023★ strong match
ption in connection with purchases made before November 1, 1977, if the conditions set forth in section IV are met.
Section II—Prospective Application (a) Except for fiduciaries providing investment advice within the meaning of ERISA section 3(21)(A)(ii) or Code section 4975(e)(3)(B) and regulations thereunder, the res…
ERISARegulationsJan 1, 2017
…s (i) through (m), inclusive.
(o)(2) (2) Loans made after December 31, 1975, but before November 1, 1977. A loan made after December 31, 1975, but before November 1, 1977, or made afterwards under a binding agreement in effect on November 1, 1977 (or under renewals permitted by the terms of such an agreement on that da…
80 FR 22010 — Proposed Amendment to and Proposed Partial Revocation of Prohibited Transaction Exemption (PTE) 84-24 for Certain Transactions Involving Insurance Agents and B… ERISAProposed Rules (FR)Proposed Apr 20, 2015★ strong match
plans described in Code section 4975).
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8.
See
PTE 77-9, 42 FR 32395 (June 24, 1977) (predecessor to PTE 84-24).
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9. The exemption also provides relief for: (1) The purchase, with plan assets, of an insurance or annuity contract from an insurance company which is a fiduciary or a serv…
87 FR 70753 — Prohibited Transaction Exemption (PTE) 2002-51 To Permit Certain Transactions Identified in the Voluntary Fiduciary Correction Program ERISAProposed Rules (FR)Proposed Nov 21, 2022related by meaning
he Department no longer believes that posting the notification is reasonably calculated to ensure that interested persons actually receive the notice. The Department has reviewed several notices to interested persons submitted to the applicable Regional Offices and found that some of them do not meet the applicable req…
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
nd in its text, PTE 2020-02 has been broadly amended to encompass compensation for advice irrespective of the product recommended.
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6. ERISA section 408(a) and Code section 4975(c)(2), expressly permit the Department (through the Reorganization Plan No. 4 of 1978) to grant “a conditional or uncondition…
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”).
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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…
85 FR 40589 — Conflict of Interest Rule-Retirement Investment Advice: Notice of Court Vacatur ERISAFinal Rules (FR)Jul 7, 2020★ strong match
…0 FR 50845 (Oct. 31, 1975), as amended at 71 FR 5883 (Feb. 3, 2006); PTE 77-4, 42 FR 18732 (Apr. 8, 1977); PTE 80-83, 45 FR 73189 (Nov. 4, 1980), as amended at 67 FR 9483 (March 1, 2002); PTE 83-1, 48 FR 895 (Jan. 7, 1983), as amended at 67 FR 9483 (March 1, 2002); PTE 84-24, 49 FR 13208 (Apr. 3, 1984), as corrected, 4…
ERISARegulationsJan 1, 2017
… 30 and completes a year of service for eligibility to participate and vesting in both the 1976 and 1977 computation periods. A becomes a participant in the plan on January 1, 1977. A terminates employment with X on November 3, 1977, after completing 1,000 hours of service; completes no hours of service in 1978, incurr…
80 FR 22004 — Proposed Amendment to Prohibited Transaction Exemption (PTE) 75-1, Part V, Exemptions From Prohibitions Respecting Certain Classes of Transactions Involving Em… ERISAProposed Rules (FR)Proposed Apr 20, 2015related by meaning
DC, this 14th day of April, 2015.
Phyllis C. Borzi,
Assistant Secretary, Employee Benefits Security Administration, Department of Labor.
Footnotes
1. Code section 4975(c)(2) authorizes the Secretary of the Treasury to grant exemptions from the parallel prohibited transaction provisions of the Code. Reorganization Pla…
85 FR 2292 — Department of Labor Federal Civil Penalties Inflation Adjustment Act Annual Adjustments for 2020 ERISAFinal Rules (FR)Jan 15, 2020
…to nearest dollar)
Max penalty (rounded to nearest dollar) MSHA
Federal Mine Safety & Health Act of 1977
Regular Assessment
30 CFR 100.3(a)
$72,620
$73,901
( printed page 2300)
MSHA
Federal Mine Safety & Health Act of 1977
Penalty Conversion Table
30 CFR 100.3(g)
$135
$72,620
$137
$73,901
MSHA
Federal Mine Safety & Hea…
82 FR 5373 — Department of Labor Federal Civil Penalties Inflation Adjustment Act Annual Adjustments for 2017 ERISAFinal Rules (FR)Jan 18, 2017
…to nearest dollar)
Max penalty (rounded to nearest
dollar)
MSHA
Federal Mine Safety & Health Act of 1977
Regular Assessment
30 CFR 100.3(A)
$68,300
$69,417.
MSHA
Federal Mine Safety & Health Act of 1977
Penalty Conversion Table
30 CFR 100.3(G)
$127
68,300
$129
69,417.
MSHA
Federal Mine Safety & Health Act of 1977
Minim…
89 FR 32302 — Amendment to Prohibited Transaction Exemption 84-24 ERISAFinal Rules (FR)Apr 25, 2024★ strong match
ption in connection with purchases made before November 1, 1977, if the conditions set forth in section IV are met.
Section II—Prospective Application (a) Except for the receipt of reasonable compensation and/or the sale of any property as a result of the provision of investment advice within the meaning of ERISA secti…
81 FR 43430 — Department of Labor Federal Civil Penalties Inflation Adjustment Act Catch-Up Adjustments ERISAFinal Rules (FR)Jul 1, 2016
Act of 1977
Penalty Conversion Table
30 CFR 100.3(G)
2007
72 FR 13592
112
60,000
112
70,000
127
68,300.
MSHA
Federal Mine Safety & Health Act of 1977 Minimum Penalty for any order issued under 104(d)(1) of the Mine Act
30 CFR 100.4(a)
2007
72 FR 13592
2,000
2,000
2,277
MSHA
Federal Mine Safety & Health Act of 1977
Min…
84 FR 213 — Department of Labor Federal Civil Penalties Inflation Adjustment Act Annual Adjustments for 2019 ERISAFinal Rules (FR)Jan 23, 2019
…o
nearest
dollar)
Max. penalty (rounded to nearest
dollar)
MSHA
Federal Mine Safety & Health Act of 1977
Regular Assessment
30 CFR 100.3(a)
$70,834
$72,620.
MSHA
Federal Mine Safety & Health Act of 1977
Penalty Conversion Table
30 CFR 100.3(g)
$132
$70,834
$135
$72,620.
MSHA
Federal Mine Safety & Health Act of 1977
Min…