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
notes
1.
PTE 84-24, 49 FR 13208 (Apr. 3, 1984), as corrected, 49 FR 24819 (June 15, 1984), as amended, 71 FR 5887 (Feb. 3, 2006).
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2. 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…
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…
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…
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).
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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…
ERISACourt RulingsFeb 22, 2000★ strong match
…led on May 30, 1996, for failure of the two Plans to file Form
5500 C/R's for the Plan Years 1992 - 1994. These were followed by
statements of reasonable cause by the Respondent, and the agency
responded with two notices of determination on statement of
reasonable cause ("NODs"), which were not submitted to the two
Pla…
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…
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
proposal and updated economic analysis. The first proposed amendment to the rule was withdrawn on April 20, 2015,
see80 FR 21927.
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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…
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
e authority of the Secretary of the Treasury to issue administrative exemptions under Code section 4975 to the Secretary of Labor.
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3. For purposes of this amendment, the terms “Individual Retirement Account” or “IRA” mean any trust, account or annuity described in Code section 4975(e)(1)(B) through (F…
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…
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…
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 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…
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…
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.
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7.
59 FR 38860 (July 29, 1994).
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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…
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…
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.
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37. Proposed Amendment to PTE 84-14, 68 FR 52419, 52423 (Sept. 3, 2003).
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38.
For purposes of these changes, the Department used March 1984 and December 20…
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
977) (“The attention of interested parties is directed to the fact that regulation 2550.408c-2 replaces Interpretive Bulletin 75-6”).
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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 RulingsApr 28, 1995★ strong match
shington, DC 20013 200 Constitution Ave., NW
Room N-5437-D
Benjamin T. Chinni Washington, DC 20210
Assoc. Regional Solicitor
U. S. Department of Labor 881 Federal Office Bldg.
1240 East Ninth Street
Cleveland, OH 44199
[ENDNOTES]
[1] The following abbreviations will be used as citations to the
record: CX = Complainant'…