A Collaboration with the University of Pittsburgh
Issued by Employee Benefits Security Administration

Start Preamble AGENCY: Employee Benefits Security Administration, Labor. ACTION: Notice of proposed amendments to PTE 2016-01, PTE 2016-02, and PTE 84-24. SUMMARY: This document proposes to extend the special transition period under sections II and IX of the Best Interest Contract Exemption and section VII of the Class Exemption … [read more]

Start Preamble Start Printed Page 31278 AGENCY: Employee Benefits Security Administration, U.S. Department of Labor. ACTION: Request for information. SUMMARY: The Employee Benefits Security Administration of the U.S. Department of Labor (the Department) is publishing this Request for Information in connection with its examination of the final rule defining … [read more]

Start Preamble AGENCY: Employee Benefits Security Administration, Labor. ACTION: Proposed rule; extension of applicability date. SUMMARY: This document proposes to extend for 60 days the applicability date defining who is a “fiduciary” under the Employee Retirement Income Security Act (ERISA) and the Internal Revenue Code of 1986 (Code), and … [read more]

Start Preamble Start Printed Page 7336 AGENCY: Employee Benefits Security Administration, U.S. Department of Labor. ACTION: Notification of Proposed Class exemption. SUMMARY: This document contains a notice of pendency before the Department of Labor of a proposed class exemption from certain prohibited transaction restrictions of the Employee Retirement Income … [read more]

  Table of Contents Back to Top DATES: ADDRESSES: FOR FURTHER INFORMATION CONTACT: SUPPLEMENTARY INFORMATION: I. Background A. The Department's Rulemaking Regarding State Payroll Deduction Savings Initiatives B. Public Comments on Political Subdivisions II. Overview of Proposed Rule III. Solicitation of Comments IV. Regulatory Impact Analysis A. Executive Order … [read more]

  Table of Contents Back to Top DATES: ADDRESSES: FOR FURTHER INFORMATION CONTACT: SUPPLEMENTARY INFORMATION: I. Background II. Solicitation of Comments A. Notification to Issuers Without Self-Certification B. Other Approaches With Respect to Insured Plans Described in the Supplemental Briefing C. Self-Insured Plans III. Collection of Information Requirements Footnotes … [read more]

  Table of Contents Back to Top DATES: ADDRESSES: FOR FURTHER INFORMATION CONTACT: SUPPLEMENTARY INFORMATION: II. Appendices A. Data Elements for Forms and Schedules B. Proposed Instructions for Form 5500 Annual Return/Report C. Proposed Instructions for Form 5500-SF III. Request for Comments IV. Discussion of Proposed Changes A. Modernize … [read more]

  Table of Contents Back to Top DATES: ADDRESSES: FOR FURTHER INFORMATION CONTACT: SUPPLEMENTARY INFORMATION: I. Executive Summary A. Purpose of the Regulatory Action B. Summary of the Major Revisions of the Regulatory Action 1. Modernize Financial and Investment Reporting by Pension Plans 2. Support Oversight of Group Health … [read more]

  Table of Contents Back to Top DATES: ADDRESSES: FOR FURTHER INFORMATION CONTACT: SUPPLEMENTARY INFORMATION: I. Background General Statutory Background and Enactment of ACA Expatriate Health Plans, Expatriate Health Plan Issuers and Qualified Expatriates IRS Notice 2015-43 IRS Notices 2015-29 and 2016-14 Excepted Benefits Short-Term, Limited-Duration Insurance Coverage Prohibition … [read more]

  Table of Contents Back to Top DATES: ADDRESSES: FOR FURTHER INFORMATION CONTACT: SUPPLEMENTARY INFORMATION: A. Background 1. State Payroll Deduction Savings Initiatives 2. ERISA's Regulation of Employee Benefit Plans 3. Purpose and Scope of Proposed Regulation B. Description of the Proposed Regulation C. Effective Date D. Regulatory Impact … [read more]

  Table of Contents Back to Top DATES: ADDRESSES: FOR FURTHER INFORMATION CONTACT: SUPPLEMENTARY INFORMATION: A. Executive Summary 1. Purpose of Regulatory Action 2. Summary of Major Provisions 3. Costs and Benefits B. Background 1. Section 503 of ERISA and the Section 503 Regulations 2. The Affordable Care Act … [read more]

  Table of Contents Back to Top DATES: ADDRESSES: FOR FURTHER INFORMATION CONTACT: SUPPLEMENTARY INFORMATION: Notice of Public Hearing Notice of Extension of Comment Period Footnotes DATES: Back to Top The comment periods for the proposed rule and six proposed prohibited transaction exemptions published on April 20, 2015 (80 … [read more]

  Table of Contents Back to Top DATES: ADDRESSES: FOR FURTHER INFORMATION CONTACT: SUPPLEMENTARY INFORMATION: I. Executive Summary A. Purpose of the Regulatory Action B. Summary of the Major Provisions of the Proposed Rule C. Gains to Investors and Compliance Costs II. Overview A. Rulemaking Background B. The Statute … [read more]

  Table of Contents Back to Top DATES: ADDRESSES: FOR FURTHER INFORMATION CONTACT: SUPPLEMENTARY INFORMATION: Executive Summary Purpose of Regulatory Action Summary of the Major Provisions Executive Order 12866 and 13563 Statement Background Proposed Regulation Defining a Fiduciary Prohibited Transactions Prohibited Transaction Exemptions Proposed Best Interest Contract Exemption Entities … [read more]

  Table of Contents Back to Top DATES: ADDRESSES: FOR FURTHER INFORMATION CONTACT: SUPPLEMENTARY INFORMATION: Executive Summary Purpose of Regulatory Action Summary of the Major Provisions Executive Order 12866 and 13563 Statement Background Proposed Regulation Defining a Fiduciary Prohibited Transactions 1. Blind Transactions 2. Principal Transactions Permitted Under an … [read more]

  Table of Contents Back to Top DATES: ADDRESSES: FOR FURTHER INFORMATION CONTACT: SUPPLEMENTARY INFORMATION: Executive Summary Purpose of Regulatory Action Summary of the Major Provisions Regulatory Impact Analysis Executive Order 12866 and 13563 Statement Background Proposed Regulation Prohibited Transactions Prohibited Transaction Exemptions Description of the Proposal Applicability Date … [read more]

  Table of Contents Back to Top DATES: ADDRESSES: FOR FURTHER INFORMATION CONTACT: SUPPLEMENTARY INFORMATION: Executive Summary Purpose of Regulatory Action Summary of the Major Provisions Executive Order 12866 and 13563 Statement Background Description of the Proposal I. Impartial Conduct Standards II. IRAs III. Commissions IV. Recordkeeping Requirements V. … [read more]

  Table of Contents Back to Top DATES: ADDRESSES: FOR FURTHER INFORMATION CONTACT: SUPPLEMENTARY INFORMATION: Executive Summary Purpose of Regulatory Action Summary of the Major Provisions Executive Order 12866 and 13563 Statement Background Description of the Proposed Amendments I. Impartial Conduct Standards II. IRAs III. The Mutual Fund Exemption … [read more]

  Table of Contents Back to Top DATES: ADDRESSES: FOR FURTHER INFORMATION CONTACT: SUPPLEMENTARY INFORMATION: Executive Summary Purpose of Regulatory Action Summary of the Major Provisions Regulatory Impact Analysis Executive Order 12866 and 13563 Statement Background Proposed Regulation Prohibited Transactions Prohibited Transaction Exemptions Description of the Proposal Applicability Date … [read more]

  Table of Contents Back to Top DATES: ADDRESSES: FOR FURTHER INFORMATION CONTACT: SUPPLEMENTARY INFORMATION: DATES: Back to Top Comments must be received on or before April 20, 2015. ADDRESSES: Back to Top You may submit comments, identified by RIN 1210-AB68 (Fiduciary Requirements for Disclosure in Participant-Directed Individual Account … [read more]

  Table of Contents Back to Top DATES: ADDRESSES: FOR FURTHER INFORMATION CONTACT: SUPPLEMENTARY INFORMATION: I. Background II. Overview of the Proposed Regulations A. Requirement To Provide a Summary of Benefits and Coverage 1. Providing the SBC a. Provision of the SBC by an Issuer to a Plan b. … [read more]

  Table of Contents Back to Top AGENCIES: DATES: ADDRESSES: FOR FURTHER INFORMATION CONTACT: SUPPLEMENTARY INFORMATION: I. Background II. Overview of These Proposed Regulations A. Requirements of These New Proposed Regulations 1. Covers Additional Benefits 2. Limited in Amount 3. Nondiscrimination 4. Plan Eligibility Requirements 5. Reporting B. Pilot … [read more]

  Table of Contents Back to Top DATES: ADDRESSES: FOR FURTHER INFORMATION CONTACT: SUPPLEMENTARY INFORMATION: Background Explanation of Provisions Dates and Interim Availability of New Electronic Filing System Regulatory Impact Analysis 1. Executive Orders 12866 and 13563 2. Regulatory Flexibility Analysis 3. Paperwork Reduction Act 4. Congressional Review Act … [read more]

  Table of Contents Back to Top AGENCIES: DATES: ADDRESSES: FOR FURTHER INFORMATION CONTACT: SUPPLEMENTARY INFORMATION: I. Background II. Provisions of the Proposed Regulations Defining a Closely Held For-Profit Entity Religious Objection To Providing Coverage for Some or All of the Contraceptive Services Required To Be Covered. Other Potential … [read more]

  Table of Contents Back to Top DATES: ADDRESSES: FOR FURTHER INFORMATION CONTACT: SUPPLEMENTARY INFORMATION: A. Background B. Request for Information Plan Investment Offerings—Brokerage Windows and Designated Investment Alternatives Participation in Brokerage Windows Selecting and Monitoring Brokerage Windows and Service Providers Fiduciary Access to Information About Brokerage Window Investments … [read more]

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