ERISACourt RulingsFeb 22, 2000★ strong match
…1998, submit draft
participant account statements for all of the Plans' participants
for plan years 1995 and 1996 to PWBA for review and comment.
[Page 4]
(c) By December 31, 1998, send finalized
versions of the participant account statements to the Plans'
participants.
(d) By December 1, 1998, submit summary draft
Ann…
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…
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
tion
45.
15 U.S.C. 80b-11(g)(1).
Back to Citation
46.
See e.g., Fish
v.
GreatBanc Trust Company,
749 F.3d 671 (7th Cir. 2014).
Back to Citation
47. As a practical matter, one way for financial institutions to ensure that they can meet this burden is by implementing strong anti-conflict policies and procedures, and …
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
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…
89 FR 23090 — Amendment to Prohibited Transaction Class Exemption 84-14 for Transactions Determined by Independent Qualified Professional Asset Managers (the QPAM Exemption) ERISAFinal Rules (FR)Apr 3, 2024★ strong match
as well.
Back to Citation
52.
Section I(k) of the Proposed Amendment has been renumbered in the Final Amendment as Section I(j).
Back to Citation
53. The Department additionally clarifies that the certification of the independent audit would come at some point after an individual exemption is granted and the One-Year…
89 FR 32260 — Amendment to Prohibited Transaction Exemption 2020-02 ERISAFinal Rules (FR)Apr 25, 2024related by meaning
4.
See John Hancock Mut. Life Ins. Co.
v.
Harris Trust & Sav. Bank,
510 U.S. 86, 98 (1993).
Back to Citation
105.
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 doe…
90 FR 4192 — Voluntary Fiduciary Correction Program ERISAFinal Rules (FR)Jan 15, 2025
…as required by Executive Order 12866,[28]
Executive Order 13563,[29]
the Paperwork Reduction Act of 1995,[30]
the Regulatory Flexibility Act,[31]
section 202 of the Unfunded Mandates Reform Act of 1995,[32]
Executive Order 13132,[33]
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 RulingsMar 20, 1995★ strong match
…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 Summary Decision on the record,
arguing that there are no material facts in dispute. On January 19, 1995, the Respondent
issued a Response to the Motion for …
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
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…
78 FR 13797 — Ex Parte Cease and Desist and Summary Seizure Orders-Multiple Employer Welfare Arrangements ERISAFinal Rules (FR)Mar 1, 2013★ strong match
… desist order final regulation is not subject to the requirements of the Paperwork Reduction Act of 1995 (44 U.S.C. 3501 et seq.), because it does not contain a “collection of information” as defined in 44 U.S.C. 3502(3). The Final Rule on Procedures for Administrative Hearings Regarding the Issuance of Cease and Desis…
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…
89 FR 4662 — Procedures Governing the Filing and Processing of Prohibited Transaction Exemption Applications ERISAFinal Rules (FR)Jan 24, 2024
…mal exemption guidelines developed by the Department since the adoption of ERISA Procedure 75-1. In 1995, the Department issued a publication entitled “Exemption Procedures under Federal Pension Law” (the 1995 Exemption Publication). In addition to providing a brief overview of the exemption process, the 1995 Exemption…
89 FR 32302 — Amendment to Prohibited Transaction Exemption 84-24 ERISAFinal Rules (FR)Apr 25, 2024★ strong match
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).
Back to Citation
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…
91 FR 46602 — Electronic Disclosure by Group Health Plans Under ERISA ERISAProposed Rules (FR)Proposed Jul 23, 2026
…der 12866,[54]
Executive Order 13563,[55]
Executive Order 14192,[56]
the Paperwork Reduction Act of 1995,[57]
the Regulatory Flexibility Act,[58]
section 202 of the Unfunded Mandates Reform Act of 1995,[59]
and Executive Order 13132.[60]
B. Executive Orders 12866 and 13563
Executive Orders 12866 and 13563 direct agenci…
ERISACourt RulingsJun 26, 1996
e amount of $50,000.00 for violations of
the above-mentioned Act. By letter dated October 13, 1995,
Respondent requested a hearing before this Office. On November 3, 1995, this Office issued a
Notice of Docketing which required both parties to file certain
information relating to this matter. On December 13, 1995, this…
91 FR 4348 — Improving Transparency Into Pharmacy Benefit Manager Fee Disclosure ERISAProposed Rules (FR)Proposed Jan 30, 2026
… 12866,[145]
Executive Order 13563,[146]
Executive Order 14192,[147]
the Paperwork Reduction Act of 1995,[148]
the Regulatory Flexibility Act,[149]
section 202 of the Unfunded Mandates Reform Act of 1995,[150]
and Executive Order 13132.[151]
1. Executive Orders 12866 and 13563
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
, including as part of a comment responding to the broader proposal. Comments are due by January 2, 2024 to ensure their consideration.
PRA Addressee: Address requests for copies of the ICR to James Butikofer, Office of Research and Analysis, U.S. Department of Labor, Employee Benefits Security Administration, 200 Cons…
ERISACourt RulingsMar 29, 1995
…RISA > USDOL, PWBA v. Sociedad Para
Asistencia Legal Money Purchase Plan, 1994-RIS-62 (ALJ Mar. 29,
1995)
USDOL/OALJ Reporter
USDOL, PWBA v. Sociedad Para
Asistencia Legal Money Purchase Plan, 1994-RIS-62 (ALJ Mar. 29,
1995)
U.S. Department of Labor
Office of Administrative Law Judges
800 K Street, NW, Suite 400-N
Wash…
ERISACourt RulingsMay 30, 1995
… > USDOL, PWBA v. Rhode Island
Bricklayers & Allied Craftsmen Pension Fund, 1994-RIS-64 (ALJ
ay 30, 1995)
USDOL/OALJ Reporter
USDOL, PWBA v. Rhode Island
Bricklayers & Allied Craftsmen Pension Fund, 1994-RIS-64
(ALJ May 30, 1995)
U.S. Department of Labor
Office of Administrative Law Judges
John W. McCormack Post Office…