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
he Applicability Date. For the avoidance of doubt, no revocation will be applicable prior to the Applicability Date.
Paperwork Reduction Act Statement In accordance with the requirements of the Paperwork Reduction Act of 1995 (PRA) (44 U.S.C. 3506(c)(2)), the Department solicited comments on the information collections…
ERISACourt RulingsAug 25, 1995★ strong match
…e penalty on various legal grounds. The cases
were consolidated on December 8, 1993. On December 8, 1994 a
hearing of these consolidated cases was held in Dallas, Texas.
Both parties have submitted proposed Findings of Fact and a
Proposed Decision and Order.
Pursuant to my order of August 17, 1994, PWBA, Taggart and
AM…
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 RulingsMar 29, 1995
ovide reasonable
cause for not timely correcting an IQPA report. Thereafter, on June
17, 1994, Respondent filed an answer with this office pursuant to 29 C.F.R. § 2570.61(c). On July 14, 1994, I issued a Notice of
Docketing which required the parties to file various information
relative to this matter. Responses to the…
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…
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, 2015related 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…
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
minimized, collection instruments are clearly understood, and the Department can properly assess the impact of collection requirements on respondents. Currently, the Department is soliciting comments concerning the proposed information collection request (ICR) included in the Proposed Amendment to and Proposed Partial …
89 FR 32302 — Amendment to Prohibited Transaction Exemption 84-24 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 RulingsJan 20, 1998
ng filings required in the
Prehearing Order Number One were due on September 30, 1994,
2) the hearing would be rescheduled for the week of October 31, 1994, and 3) interim reports were to be filed with this Office
every two weeks detailing the status of the settlement
negotiations.
Complainant complied with all applica…
ERISACourt RulingsJun 26, 2013
…U.S. Dep’t of Labor, PWBA v. Spalding and Evenflo Companies, Inc. , 1992 - RIS - 19 (PWBA, Nov. 18, 1994); U.S.
Dep’t of Labor, EBSA v. Team Laurino 401(k) Plan , 2008 - RIS - 50 (ALJ, Dec. 9, 2008); U.S. Dep’t of Labor, EBSA
v. Dutch American Import Co. , 2009 - RIS - 1 4 (ALJ, Jan. 6, 2010); U.S. Dep’t of Labor, EBSA…
ERISACourt RulingsDec 23, 1994
…s
DOL Home > OALJ > ERISA > 94ris41a.htm
USDOL/OALJ Reporter
94ris41a.htm
Date Issued: December 23, 1994
Case No.: 94-RIS-41
In the Matter of:
CONSOLIDATED PACKAGING
CORPORATION,
Respondent
Before: JOHN M. VITTONE
Deputy Chief Judge
DECISION AND ORDER
This case arises under the Employee Retirement Income
Security Act o…
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…
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.
Back to Citation
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…
85 FR 81658 — Fiduciary Duties Regarding Proxy Voting and Shareholder Rights ERISAFinal Rules (FR)Dec 16, 2020
…o be minimized and not an asset to be prudently managed.
Back to Citation
7.
59 FR 38860 (July 29, 1994).
Back to Citation
8.
See
1994 DOL Press Conference, at 2-4, 10, 15-16;
see also
Leslie Wayne,
U.S. Prodding Companies to Activism on Portfolios,
N.Y. Times (July 29, 1994),
www.nytimes.com/1994/07/29/business…
85 FR 55219 — Fiduciary Duties Regarding Proxy Voting and Shareholder Rights ERISAProposed Rules (FR)Proposed Sep 4, 2020
…t of Labor, Transcript of Press Conference on Corporate Activist Role in Pension Planning (July 28, 1994), at 15-16 (then-Secretary Robert Reich stating that IB 94-2 “makes very clear that . . . pension fund managers, trustees, [and] fiduciaries have an obligation to vote proxies” unless the costs “substantially outwei…
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…
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…
ERISACode / StatuteJan 6, 2025
…s beginning on or after such date.
(h)(3)(C)(ii) (ii) Special rule for disabilities occurring after 1994 In the case of disabilities occurring in plan years beginning after December 31, 1994, the tables under clause (i) shall apply only with respect to individuals described in such subclause who are disabled within the…
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
an]. If the terms of the class exemption are met, [Insert Name of Applicant] will qualify for relief from the excise taxes that would otherwise apply. One of the requirements for excise tax relief is for [Insert Name of Applicant] to provide you with this notice so you have an opportunity to provide comments to EBSA ab…
ERISACourt RulingsJul 6, 1994
…ch
Case Status
DOL Home > OALJ > ERISA > USDOL, PWBA v. Cross Mills, Inc.,
1993-RIS-20 (ALJ July 6, 1994)
USDOL/OALJ Reporter
93ris20a.htm
DATE: July 6, 1994
CASE NO.: 93-RIS-20
IN THE MATTER OF
UNITED STATES DEPARTMENT OF
LABOR, PENSION AND WELFARE
BENEFITS ADMINISTRATION,
Complainant,
V.
CROSS MILLS, INC.,
Respondent…