ERISACourt RulingsFeb 22, 2000
…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…
89 FR 32260 — Amendment to Prohibited Transaction Exemption 2020-02 ERISAFinal Rules (FR)Apr 25, 2024related by meaning
Treasury. This clarification was in the preamble to the December 2020 grant of PTE 2020-02, and the Department is now adding it to the operative text. Although the proposed broader recordkeeping condition is consistent with other exemptions, the Department understands commenters' concerns that broader access to the doc…
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 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
produce, or indicate that it is not producing, records would be directly contrary to the purpose of the recordkeeping condition.
( printed page 23114) Other Ministerial Changes
The Department did not receive any comments regarding the ministerial changes in the Proposed Amendment. Therefore, the Department is finalizin…
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
sultant, insurance company, or investment company principal underwriter engaging in the transaction must maintain records of the
( printed page 21170) transaction for six years, accessible for audit and examination. A commenter on this provision recommended that the word “reasonably” be inserted prior to the term “acce…
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]
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…
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).
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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…
89 FR 4662 — Procedures Governing the Filing and Processing of Prohibited Transaction Exemption Applications ERISAFinal Rules (FR)Jan 24, 2024★ strong match
…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…
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
…itation
11.
29 CFR 2550.408b-2(e); 26 CFR 54.4975-6(a)(5).
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12.
PTE 86-128, 51 FR 41686 (November 18, 1986), replaced PTE 79-1, 44 FR 5963 (January 30, 1979) and PTE 84-46, 49 FR 22157 (May 25, 1984).
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13.
Plan trustees, plan administrators and employers were permitted to rely on the …
ERISACourt RulingsAug 25, 1995★ strong match
…Search
Case Status
DOL Home > OALJ > ERISA > USDOL, PWBA v. T.W. Taggert,
1993-RIS-18 (ALJ Aug. 25, 1995)
USDOL/OALJ Reporter
USDOL, PWBA v. T.W. Taggert, 1993-RIS-18
(ALJ Aug. 25, 1995)
DATE: AUGUST 25, 1995
In the Matter of
UNITED STATES DEPARTMENT OF LABOR,
Pension and Welfare Benefits Administration,
Complainant,
v…
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
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…
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 RulingsMar 20, 1995
…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 …
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…
87 FR 45204 — Proposed Amendment to Prohibited Transaction Class Exemption 84-14 (the QPAM Exemption) ERISAProposed Rules (FR)Proposed Jul 27, 2022related by meaning
…n and Regulatory Review, 76 FR 3821 (Jan. 18, 2011).
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43.
44 U.S.C. 3506(c)(2)(A) (1995).
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44.
5 U.S.C. 601
et seq.
(1980).
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45.
2 U.S.C. 1501
et seq.
(1995).
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46.
Federalism, 64 FR 153 (Aug. 4, 1999).
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47.
5 U.S.C. 804(2) (1996).
Back…
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
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
…8, Exemption for Securities Transactions Involving Employee Benefit Plans and Broker-Dealers, 51 FR 41686 (November 18, 1986), as amended, 67 FR 64137 (October 17, 2002), as further amended elsewhere in this issue of the
Federal Register
.
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11.
40 FR 50845 (October 31, 1975), as amended, 71 FR 5883 (Fe…
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…