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Go to 17 C.F.R. § 240.17a-5 (not yet in the library — opens the official source)
84 documents · 0.21sAllIRCERISAPBGCJoint Board
  1. 81 FR 47534 — Proposed Revision of Annual Information Return/Reports
    ERISAProposed Rules (FR)Proposed Jul 21, 2016
    …nd IRS Form 5330 will not need to be filed. Part VII—Plan Terminations and Transfers of Assets Line 17a. Check “Yes” if a resolution to terminate the plan was adopted during this or any prior plan year, unless the termination was revoked and no assets reverted to the employer. If “Yes” is checked, enter in Line 17a(1) …
  2. 29 C.F.R. § 2570.135 — Consent order or settlement.
    ERISARegulationsJan 1, 2017related by meaning
    For 502(c)(7) civil penalty proceedings, the following shall apply in lieu of § 18.9 of this title.
  3. 29 C.F.R. § 2570.165 — Consent order or settlement.
    ERISARegulationsJan 1, 2017related by meaning
    For 502(c)(8) civil penalty proceedings, the following shall apply in lieu of § 18.9 of this title.
  4. 29 C.F.R. § 2570.133 — Parties, how designated.
    ERISARegulationsJan 1, 2017related by meaning
    For 502(c)(7) civil penalty proceedings, this section shall apply in lieu of § 18.10 of this title.
  5. 29 C.F.R. § 2570.63 — Parties, how designated.
    ERISARegulationsJan 1, 2017related by meaning
    For 502(c)(2) civil penalty proceedings, this section shall apply in lieu of § 18.10 of this title.
  6. 84 FR 213 — Department of Labor Federal Civil Penalties Inflation Adjustment Act Annual Adjustments for 2019
    ERISAFinal Rules (FR)Jan 23, 2019
    epeated 29 CFR 1903.15(d)(2) $129,336 $132,598. OSHA Occupational Safety and Health Act Posting Requirement 29 CFR 1903.15(d)(6) $12,934 $13,260. OSHA Occupational Safety and Health Act Failure to Abate 29 CFR 1903.15(d)(5) $12,934 $13,260. WHD Family and Medical Leave Act FMLA 29 CFR 825.300(a)(1) $169 $173. WHD Fair …
  7. 29 C.F.R. § 2570.113 — Parties, how designated.
    ERISARegulationsJan 1, 2017related by meaning
    For 502(c)(6) civil penalty proceedings, this section shall apply in lieu of § 18.10 of this title.
  8. 82 FR 5373 — Department of Labor Federal Civil Penalties Inflation Adjustment Act Annual Adjustments for 2017
    ERISAFinal Rules (FR)Jan 18, 2017
    ure to Abate 29 CFR 1903.15(d)(5) 12,471 12,675. WHD Family and Medical Leave Act FMLA 29 CFR 825.300(a)(1) 163 166. WHD Fair Labor Standards Act FLSA 29 CFR 578.3(a) 1,894 1,925. WHD Fair Labor Standards Act Child Labor 29 CFR 579.1(a)(2) 1,894 1,925. WHD Fair Labor Standards Act Child Labor 29 CFR 570.140(b)(1) 12,08…
  9. 29 C.F.R. § 2570.34(f)(11)(i)(E) — Information to be included in every exemption application.
    ERISARegulationsApr 8, 2024related by meaning
    (f)(11)(i)(E) (E) Any felony or conspiracy involving the larceny, theft, robbery, extortion, forgery, counterfeiting, fraudulent concealment, embezzlement, fraudulent conversion, or misappropriation of funds or securities; or (f)(11)(ii) (ii) A statement describing the applicable investigation, examination, litigation,…
  10. 84 FR 24296 — Changes to Applicability Thresholds for Regulatory Capital Requirements for Certain U.S. Subsidiaries of Foreign Banking Organizations and Application of Liqui…
    IRCProposed Rules (FR)Proposed May 24, 2019
    …rganizations, 79 FR 17240 (March 27, 2014) (the enhanced prudential standards rule), codified at 12 CFR part 252. Back to Citation 16.   See 12 CFR part 217 (Board); 12 CFR part 3 (OCC); 12 CFR part 324 (FDIC). Back to Citation 17.   See Subpart D of the regulatory capital rule, 12 CFR part 217 (Board); 12 CFR part 3 (…
  11. 91 FR 46602 — Electronic Disclosure by Group Health Plans Under ERISA
    ERISAProposed Rules (FR)Proposed Jul 23, 2026
    6, 2015). Back to Citation 13.  26 CFR 54.9815-2715(a)(4)(ii)(A), 29 CFR 2590.715-2715(a)(4)(ii)(A), 45 CFR 147.200(a)(4)(ii)(A). Back to Citation 14.  26 CFR 54.9815-2715(a)(4)(ii)(B), 29 CFR 2590.715-2715(a)(4)(ii)(B), 45 CFR 147.200(a)(4)(ii)(B). Back to Citation 15.  85 FR 72158 (Nov. 12, 2020). See also On Decembe…
  12. 29 C.F.R. § 2570.111(o) — Definitions.
    ERISARegulationsJan 1, 2017related by meaning
    (o) (o) Respondent means the party against whom the Department is seeking to assess a civil sanction under ERISA section 502(c)(6);
  13. TR 2023-01P — Technical Release 2023-01P
    ERISADOL Technical ReleasesJul 25, 2023
    r issuer violates proposed 26 CFR 54.9812-1(c)(4)(i) or (c)(4)(ii), 29 CFR 2590.712(c)(4)(i) or (c)(4)(ii), and 45 CFR 146.136(c)(4)(i) or (c)(4)(ii). Further, under the proposed rules, if finalized, the plan or issuer would be required to:Take reasonable action to address the material differences in access as necessar…
  14. 88 FR 75979 — Proposed Amendment to Prohibited Transaction Exemption 2020-02
    ERISAProposed Rules (FR)Proposed Nov 3, 2023related by meaning
    510.3-21(c)(1)(i) and (ii)(B) or 26 CFR 54.4975-9(c)(1)(i) and (ii)(B). Back to Citation 11.  85 FR 82798, 40842 (Dec. 18, 2020). Back to Citation 12.  “While the exemption does not include specific safe harbors, the Department confirms that Financial Institutions may rely, in whole or in part, on other regulatory disc…
  15. 89 FR 32260 — Amendment to Prohibited Transaction Exemption 2020-02
    ERISAFinal Rules (FR)Apr 25, 2024related by meaning
    saction Exemption Applications were amended effective April 8, 2024 (29 CFR part 2570, subpart B (89 FR 4662 (January 24, 2024)). Back to Citation 14.  When using the term “adviser,” the Department does not refer only to investment advisers registered under the Investment Advisers Act of 1940 or under state law, but ra…
  16. 89 FR 4662 — Procedures Governing the Filing and Processing of Prohibited Transaction Exemption Applications
    ERISAFinal Rules (FR)Jan 24, 2024related by meaning
    r state law; (iii) Conduct of the business of a broker, dealer, investment adviser, bank, insurance company, or fiduciary; (iv) Income tax evasion; or (v) Any felony or conspiracy involving the larceny, theft, robbery, extortion, forgery, counterfeiting, fraudulent concealment, embezzlement, fraudulent conversion, or m…
  17. 29 C.F.R. § 4000.14(d) — What is the safe-harbor method for providing an issuance by electronic media?
    PBGCRegulationsJan 1, 2017related by meaning
    (d) (d) Any person. This section applies to any person who— (d)(1) (1) Except as provided in paragraph (d)(2) of this section, has affirmatively consented, in electronic or non-electronic form, to receiving documents through electronic media and has not withdrawn such consent; (d)(2) (2) In the case of documents to be …
  18. 29 C.F.R. § 2520.104b-10(b) — Summary Annual Report.
    ERISARegulationsApr 25, 2023related by meaning
    (b) (b) [Reserved]
  19. 87 FR 52618 — Requirements Related to Surprise Billing
    IRCFinal Rules (FR)Aug 26, 2022
    nformation based on contracted rates. See 26 CFR 54.9816-6T(c)(2)-(4), 29 CFR 2590.716-6(c)(2)-(4), and 45 CFR 149.140(c)(2)-(4). Back to Citation 14.  26 CFR 54.9816-8T(a)(2)(v), 29 CFR 2590.716-8(a)(2)(v), and 45 CFR 149.510(a)(2)(v). Back to Citation 15.  26 CFR 54.9816-8T(a)(2)(viii), 29 CFR 2590.716-8(a)(2)(viii),…
  20. 80 FR 21928 — Definition of the Term “Fiduciary”; Conflict of Interest Rule-Retirement Investment Advice
    ERISAProposed Rules (FR)Proposed Apr 20, 2015related by meaning
    ons would be more appropriate proxies for identifying persons with sufficient investment-related expertise to be included in a seller's carve-out.[20] The Department is also interested in whether existing and proposed prohibited transaction exemptions eliminate or mitigate the need for any seller's carve-out. (b) Swap …