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
…2550.408b-2(e); 26 CFR 54.4975-6(a)(5).
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12.
PTE 86-128, 51 FR 41686 (November 18, 1986), replaced PTE 79-1, 44 FR 5963 (January 30, 1979) and PTE 84-46, 49 FR 22157 (May 25, 1984).
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13.
Plan trustees, plan administrators and employers were permitted to rely on the exemption if they re…
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
this provision undermines the careful balance of labor relations in this country and argued that it is preempted by the National Labor Relations Act. After consideration of the comments, the Department has deleted the proposed recordkeeping requirements applicable to Section VII of PTE 86-128. However, as with PTE 202…
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
…
Part I(a) expired on May 1, 1978. It ultimately was replaced by PTE 86-128 (51 FR 41686 (Nov. 18, 1986)).
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5.
Class Exemption for Certain Transactions Between Investment Companies and Employee Benefit Plans, 42 FR 18732 (Apr. 8, 1977).
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6.
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
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…
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
…erted by the parties. Matsushita Elec. Indus. Co., Lt d. v.
Zenith Radio Corp. , 475 U.S. 574, 587 (1986). In determining whether there is a genuine issue
for trial, the court must view all the evidence and factual inferences in the light most favorable to
the non-moving party. Anderson v. Liberty Lobby, Inc ., 477 U.S…
75 FR 53172 — Prohibited Transaction Exemption Procedures; Employee Benefit Plans ERISAProposed Rules (FR)Proposed Aug 30, 2010★ strong match
…isions of the Employee Retirement Income Security Act of 1974 (ERISA), the Internal Revenue Code of 1986 (the Code), and the Federal Employees' Retirement System Act of 1986 (FERSA). The Secretary of Labor is authorized to grant exemptions from the prohibited transaction provisions of ERISA, the Code, and FERSA and to …
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, 2016★ strong match
…urities Transactions Involving Employee Benefit Plans and Broker-Dealers, 51 FR 41686 (November 18, 1986), as amended, 67 FR 64137 (October 17, 2002), as further amended elsewhere in this issue of the
Federal Register
.
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11.
40 FR 50845 (October 31, 1975), as amended, 71 FR 5883 (February 3, 2006).
Bac…
80 FR 65135 — Interpretive Bulletin Relating to the Fiduciary Standard Under ERISA in Considering Economically Targeted Investments ERISAFinal Rules (FR)Oct 26, 2015★ strong match
, 1986; to Mr. Reed Larson, dated July 14, 1986; to Mr. James Ray, dated July 8, 1988; to the Honorable Jack Kemp, dated November 23, 1990; and to Mr. Stuart Cohen, dated May 14, 1993; PTE 76-1, part B, concerning construction loans by multiemployer plans; PTE 84-25, issued to the Pacific Coast Roofers Pension Plan; PT…
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, 2015★ strong match
…urities Transactions Involving Employee Benefit Plans and Broker-Dealers, 51 FR 41686 (November 18, 1986), as amended, 67 FR 64137 (October 17, 2002).
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10.
40 FR 50845 (October 31, 1975), as amended, 71 FR 5883 (February 3, 2006).
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11.
See
Preamble to PTE 75-1, Part V, 40 FR 50845 (Oc…
76 FR 66637 — Prohibited Transaction Exemption Procedures; Employee Benefit Plans ERISAFinal Rules (FR)Oct 27, 2011★ strong match
…isions of the Employee Retirement Income Security Act of 1974 (ERISA), the Internal Revenue Code of 1986 (the Code), and the Federal Employees' Retirement System Act of 1986 (FERSA). The Secretary of Labor is authorized to grant exemptions from the prohibited transaction provisions of ERISA, the Code, and FERSA and to …
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
977) (“The attention of interested parties is directed to the fact that regulation 2550.408c-2 replaces Interpretive Bulletin 75-6”).
Back to Citation 7.
41 FR 3289 (Jan. 22, 1976).
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8.
43 FR 47713 (Oct. 17, 1978). Congress subsequently ratified Reorganization Plan No. 4 in 1984. See Sec. 1, Public La…
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…
ERISACourt RulingsFeb 22, 2000★ strong match
he failure to deliver the Annual Report Form
5500 C/Rs by November 13, 1998, which were delivered five days late
on November 18, 1998
15,000.00
Total: $53,062.00
IT IS THEREFORE ORDERED that:
1. In the event that the Respondent pays to
the Complainant the 1% of the $2,096,200.00 penalty, the previously
negotiated civil…
89 FR 4662 — Procedures Governing the Filing and Processing of Prohibited Transaction Exemption Applications ERISAFinal Rules (FR)Jan 24, 2024
…isions of the Employee Retirement Income Security Act of 1974 (ERISA), the Internal Revenue Code of 1986 (the Code), and the Federal Employees' Retirement System Act of 1986 (FERSA) (the Amendments). The Secretary of Labor (the Secretary) is authorized to grant exemptions from the prohibited transaction provisions of E…
87 FR 14722 — Procedures Governing the Filing and Processing of Prohibited Transaction Exemption Applications ERISAProposed Rules (FR)Proposed Mar 15, 2022
…isions of the Employee Retirement Income Security Act of 1974 (ERISA), the Internal Revenue Code of 1986 (the Code), and the Federal Employees' Retirement System Act of 1986 (FERSA). The Secretary of Labor (the Secretary) is authorized to grant exemptions from the prohibited transaction provisions of ERISA, the Code, a…
ERISACourt RulingsJan 20, 1998
…t participants or beneficiaries ."
5CD No. 328 was
outstanding from October 11, 1985 to October 11, 1986 at an
interest rate of 7.625%. CD No. 328 was apparently issued in the
name of "Smith Administrators Medical Claims Account." Ex C16.
As I indicated above, there is no independent evidence
documenting the existence …
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…
78 FR 13797 — Ex Parte Cease and Desist and Summary Seizure Orders-Multiple Employer Welfare Arrangements ERISAFinal Rules (FR)Mar 1, 2013related by meaning
rved on all parties of record. Upon motion of one or more of the parties, the Secretary may, in her discretion, permit the submission of reply briefs. (b) The Secretary shall issue a decision as promptly as possible after receipt of the briefs of the parties. The Secretary may affirm, modify, or set aside, in whole or …
ERISACourt RulingsJun 26, 2013
… (ARB Feb. 28, 2006) (CAA).
8
29 C.F.R. § 18.40(d); Celot ex Corp. v. Cartrett , 477 U.S. 317, 322 (1986).
9
Saporito , ARB No. 05-004, slip op. at 5 (citing Anderson v. Liberty Lobby, Inc. , 477 U.S. 242, 248 (1986)).
- 8 -
76 FR 66136 — Investment Advice-Participants and Beneficiaries ERISAFinal Rules (FR)Oct 25, 2011related by meaning
001-09A (December 14, 2001); and AO 97-15A (May 22, 1997).
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5.
Public Law 109-280, 120 Stat. 780 (Aug. 17, 2006).
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6. Under Reorganization Plan No. 4 of 1978 (43 FR 47713, Oct. 17, 1978), 5 U.S.C. App. 1, 92 Stat. 3790, the authority of the Secretary of the Treasury to issue rulings un…