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…
ERISACourt RulingsFeb 22, 2000
he years 1992 - 1996, but that only the years 1995 and 1996
were sent to the DOL because that is all that the settlement
agreement called for. (T 145) Mr. Arneson confirmed that he (they) did not
respond immediately to Mrs. Palaoro's letter of April 26, 1999. (T
148) In August, 1999, [just before the hearing] they sent…
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…
ERISACourt RulingsFeb 1, 1993
Respondent's statement of
reasonable cause, due January 13, 1992, that was filed subsequent
to January 13 if Respondent describes in the statement of reasonable cause what is intended to be produced and a reasonable
time frame within which to produce these items. This letter was
received on or about January 8, 1992.
1…
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
tion.
Back to Citation
14.
67 FR 64137 (October 17, 2002).
Back to Citation
15.
See
Advisory Opinion 2011-08A (June 21, 2011).
Back to Citation
16. As noted above, for purposes of this amendment, the terms “Individual Retirement Account” or “IRA” mean any account or annuity described in Code section 4975(e)(1)(B) t…
ERISACourt RulingsJul 26, 1995
d to the DOL twice previously.
In mid January, 1992 NIP did two things of import. on
January 16, 1992, it filed suit in District Court for the Eastern District of Pennsylvania, alleging that the Department's failure
to consider NIP's letter of April 12, 1991, as a timely statement
of reasonable cause unfairly deprived …
ERISACourt RulingsMar 20, 1995
…e Department [of
Labor]."
The Respondent was also notified of the 45-day time limit in the April 3, 1992, letter of
rejection, which it received on April 7, 1992. Respondent sent in the requested additional
information by letter of May 21, 1992; 48 days after the date of the April
3, 1992, Notice, but only 44 days afte…
ERISACourt RulingsNov 18, 1994★ strong match
…L may bring after the date of
adoption, even if it is based, as this one is, on violations prior to 1992. Indeed, the stated purpose of T.R. 92-01 was to
expand the categories of violations as to which the DOL would not
assert a violation beyond the limited categories contained in
T.R. 88-1. The preamble to T.R. 92-01 …
ERISACourt RulingsJun 9, 2000
…eiving the notice, Respondent contacted the PWBA by telephone on
April 8, 1992. A telephone contact memorandum from the Division of
Reporting Compliance indicates that Respondent was told that PWBA
expected a separate IQPA for the Piedmont plan from January 1,
1989, until the date of the merger, September 1, 1989.4 (J-…
ERISADOL Technical Releases★ strong match
1991).
Signed at Washington, DC, this 28th day of May 1992
Alan D. Lebowitz
Deputy Assistant Secretary for Program Operations
U.S. Department of Labor Pension and Welfare Benefits Administration
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…
ERISACourt RulingsApr 27, 1995★ strong match
…rring the full penalty was
created. Such overdue reports were required to be filed between
arch 23, 1992 and September 30, 1992. A one thousand dollar
(
,000) late fee was to be included with each overdue report filed
under this procedure.
In accordance with the USDL 92-158 procedure, the Respondent
filed its Forms 550…
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…
ERISACourt RulingsFeb 2, 1993
14, 1992, certain
special procedural rules were prescribed for the presentation of
evidence and argument by the parties in written form. In accordance with those procedural rules, Respondent's opening statement dated
April 2, 1992, with attached Exhibits "A" through "I"; Pt/BA's
opening statement dated May 24, 1992, wi…
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…
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.
Back to Citation
7.
67 FR 64137 (October 17, 2002).
Back to Citation
8.
See Advisory Opinion 2011-08A (June 21, 2011).
Back to Citation
9.
This proposal would move the definitions from Section I to Section VII. The other sections are re-ordered…
89 FR 32260 — Amendment to Prohibited Transaction Exemption 2020-02 ERISAFinal Rules (FR)Apr 25, 2024related 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…
ERISACourt RulingsSep 27, 1993
…
17. DOL sent to Braniff a "Notice of
Determination on Statement of Reasonable Causeö, dated May 8,
1992, which stated, among other things, that Braniff was required
to file an Answer to the Notice of Determination with the Of f ice
of Administrative Law Judges ("OALJ") within thirty days thereafter
in order to avoid e…
87 FR 45204 — Proposed Amendment to Prohibited Transaction Class Exemption 84-14 (the QPAM Exemption) ERISAProposed Rules (FR)Proposed Jul 27, 2022related by meaning
r desires to enter into a party in interest transaction with its plan but leaves the ultimate determination and review to a QPAM.
Back to Citation
37. Proposed Amendment to PTE 84-14, 68 FR 52419, 52423 (Sept. 3, 2003).
Back to Citation
38.
For purposes of these changes, the Department used March 1984 and December 20…
ERISARegulationsJan 1, 2017
…tions occurring on or after the first day of the second plan year beginning on or after October 13, 1992.
(g)(2) (2) This section is effective with respect to transactions occurring under a plan maintained pursuant to one or more collective bargaining agreements between employee representatives and one or more employer…