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
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★ strong match
1, which provides an exemption from the prohibited transaction excise tax for certain transactions identified in the VFC Program.
Back to Citation
12. As discussed below, the Department made a change in this 2025 VFC Program to permit an employer in a multiemployer plan or multiple employer plan who wishes to correct …
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
with other existing class exemptions as well as the recordkeeping provisions of the other exemptions published in this issue of the
Federal Register
. One commenter addressed the proposed record keeping requirement. The commenter suggested that the requirement should contain a “reasonableness” standard. The commenter a…
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…
89 FR 32302 — Amendment to Prohibited Transaction Exemption 84-24 ERISAFinal Rules (FR)Apr 25, 2024★ strong match
…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 Investors,” supra.
Back to Citation
111.
See John Hancock Mut. Life Ins. Co.
v.
Harris Trust & Sav. Bank…
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 …
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
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 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
…66,[70]
Executive Order 13563,[71]
the Congressional Review Act,[72]
the Paperwork Reduction Act of 1995,[73]
the Regulatory Flexibility Act,[74]
section 202 of the Unfunded Mandates Reform Act of 1995,[75]
and Executive Order 13132.[76]
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…
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…
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 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…
89 FR 43675 — Prohibited Transaction Exemption 2006-06 for Services Provided in Connection With the Termination of Abandoned Individual Account Plans ERISAFinal Rules (FR)May 17, 2024★ strong match
…ent to the Department.
G. Paperwork Reduction Act In accordance with the Paperwork Reduction Act of 1995 (PRA) (44 U.S.C. 3506(c)(2)(A)), the Department solicited comments concerning the information collection requirements (ICRs) included in the December 12, 2012, proposed amendments to the 2006 regulations at 77 FR 74…
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…
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
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…