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 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…
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 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
upremacy when the two regimes cannot be harmonized or accommodated”).
Back to Citation
50.
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…
ERISACourt RulingsJan 20, 1998★ strong match
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 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…
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 RulingsMar 20, 1995★ strong match
…Administrative Law Judge, and upon agreement of the parties, a hearing was scheduled for
August 30, 1994, in Cincinnati, Ohio. On August 10, 1994, the Complainant requested and
was granted a continuance, and the hearing was rescheduled to January 25, 1995. On
January 5, 1995, the Complainant filed a Motion for a Summar…
ERISACourt RulingsApr 27, 1995★ strong match
…etermining "the degree of
willfulness" of the Respondent's noncompliance. See 29
C.F.R.
[PAGE 9]
§ 2560.502c-2(b).
___________________________
DANIEL J. ROKETENETZ
Administrative Law Judge
NOTICE OF APPEAL RIGHTS
Pursuant to 29 C.F.R. § 580.13, any party dissatis-
fied with this Decision and Order on Remand may appeal …
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…
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…
89 FR 32302 — Amendment to Prohibited Transaction Exemption 84-24 ERISAFinal Rules (FR)Apr 25, 2024related by meaning
$165.71)] ≉ $28,683,939.
Back to Citation
107.
5 U.S.C. 601
et seq.
Back to Citation
108.
5 U.S.C. 601(2), 603(a);
see5 U.S.C. 551.
Back to Citation 109.
Public Law 104-4, 109 Stat. 48 (Mar. 22, 1995).
Back to Citation
110.
See
“The Department's Role Related to the Sale of Insurance Products to Retirement Investor…
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…
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…
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…
81 FR 59464 — Savings Arrangements Established by States for Non-Governmental Employees ERISAFinal Rules (FR)Aug 30, 2016related by meaning
anagement Association); Comment Letter # 55 (U.S. Chamber of Commerce); Comment Letter # 62 (Investment Company Institute).
Back to Citation
29.
See Code section 4975(d) (enumerating several statutory prohibited transaction exemptions); Code section 4975(c)(2) (authorizing Secretary of the Treasury to grant exemption…
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…
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…