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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. I.R.C. § 4975(f)(8)(D) — Tax on prohibited transactions
    IRCCode / StatuteJan 6, 2025related by meaning
    (f)(8)(D) (D) Express authorization by separate fiduciary The requirements of this subparagraph are met with respect to an arrangement if the arrangement is expressly authorized by a plan fiduciary other than the person offering the investment advice program, any person providing investment options under the plan, or a…
  2. 88 FR 76004 — Proposed Amendment to Prohibited Transaction Exemption 84-24
    ERISAProposed Rules (FR)Proposed Nov 3, 2023related by meaning
    information in writing and in a form calculated to be understood by a plan fiduciary who has no special expertise in insurance or investment matters: (A) If the person recommending securities issued by an investment company is the Principal Underwriter of the investment company whose securities are being recommended, …
  3. 83 FR 15019 — Real Estate Appraisals
    IRCFinal Rules (FR)Apr 9, 2018
    to Citation 18.   See OCC: 12 CFR 34.43(a)(1) and (5); Board: 12 CFR 225.63(a)(1) and (5); and FDIC: 12 CFR 323.3(a)(1) and (5). Back to Citation 19.  The Title XI appraisal regulations define “business loan” to mean “a loan or extension of credit to any corporation, general or limited partnership, business trust, joi…
  4. 29 C.F.R. § 2570.97 — Summary decision.
    ERISARegulationsJan 1, 2017related by meaning
    For 502(c)(5) civil penalty proceedings, this section shall apply in lieu of 29 CFR 18.41.