Title 29--LABOR
Chapter XXV--EMPLOYEE BENEFITS SECURITY ADMINISTRATION, DEPARTMENT OF


On February 6, 1975, the Department of Labor issued an interpretive bulletin, ERISA IB 75-2, with respect to whether a party in interest has engaged in...


employee benefit plans in securities of registered investment companies. On March 12, 1975, the Department of Labor issued an interpretive bulletin, ERISA IB 75-3,...


fiduciaries. On June 4, 1975, the Department of Labor issued an interpretive bulletin, ERISA IB 75-4, announcing the Department's interpretation of section 410(a) of...


On June 25, 1975, the Department of Labor issued an interpretive bulletin, ERISA IB 75-5, containing questions and answers relating to certain aspects of...


the Employee Retirement Income Security Act of 1974. The Department of Labor today announced guidelines for determining when a party in interest with respect to an...


under the Employee Retirement Income Security Act of 1974. The Department of Labor today issued questions and answers relating to certain aspects of...


independence of accountant retained by Employee Benefit Plan. The Department of Labor today announced guidelines for determining when a qualified public accountant...


and the Special Reliance Procedure. On November 5, 1975, the Department of Labor (the ``Department'') and the Internal Revenue Service (the ``Service'') announced...


certain employee welfare benefit plans. The Department of Labor today announced its interpretation of certain provisions of part 4 of title I of the Employee...


under ERISA in considering economically targeted investments. This Interpretive Bulletin sets forth the Department of Labor's interpretation of sections 403 and 404...


of investment policy, including proxy voting policy or guidelines. This interpretive bulletin sets forth the Department of Labor's (the Department) interpretation...


to employee benefit plans. (a) General. This bulletin sets forth the views of the Department of Labor (the Department) concerning in-kind contributions...


under ERISA when selecting an annuity provider. (a) Scope. This Interpretive Bulletin provides guidance concerning certain fiduciary standards under part 4 of title...


education. (a) Scope. This interpretive bulletin sets forth the Department of Labor's interpretation of section 3(21)(A)(ii) of the Employee Retirement...


IRAs. (a) Scope. This interpretive bulletin sets forth the Department of Labor's (the Department's) interpretation of section 3(2)(A) of the Employee...


The purpose of this section is to clarify the definition of the terms ``employee welfare benefit plan'' and ``welfare plan'' for purposes of title I of the Act and this chapter...


section clarifies the limits of the defined terms ``employee pension benefit plan'' and ``pension plan'' for purposes of title I of the Act and this chapter by identifying...


the definition in section 3(3) of the term ``employee benefit plan'' for purposes of title I of the Act and this chapter. It states a general principle which can be...


(c) Investment advice. (1) A person shall be deemed to be rendering ``investment advice'' to an employee benefit plan, within the meaning of section 3(21)(A)(ii) of...


of the Act contains in paragraphs (a)(i)- (iv) a number of criteria which an employee benefit plan must meet in order to be a multiemployer plan under the Act. Section 3(37)...


of the Act contains in paragraphs (a)(i)- (iv) a number of criteria which an employee benefit plan must meet in order to be a multiemployer plan under the Act. Section 3(37)...
...


of the Act contains in paragraphs (a)(i)- (iv) a number of criteria which an employee benefit plan must meet in order to be a multiemployer plan under the Act. Section 3(37)...
...
...


(a) General rule. For purposes of subtitle A and parts 1 and 4 of subtitle B of title I of ERISA and section 4975 of the Internal Revenue Code only (but without...


reporting and disclosure. The procedures for implementing the plan administrator's duty of reporting to the Secretary of Labor and disclosing information...


reporting and disclosure. The procedures for implementing the plan administrator's duty of reporting to the Secretary of Labor and disclosing information...
...


reporting and disclosure. The procedures for implementing the plan administrator's duty of reporting to the Secretary of Labor and disclosing information...
...
...


blackout periods under individual account plans. (a) In general. In accordance with section 101(i) of the Act, the administrator of an individual account plan, within...


Style and format of summary plan description. (a) Method of presentation. The summary plan description shall be written in a manner calculated to be understood by the...


Style and format of summary plan description. (a) Method of presentation. The summary plan description shall be written in a manner calculated to be understood by the...
...


Option for different summary plan descriptions. In some cases an employee benefit plan may provide different benefits for various classes of participants and...


annual report. Source: 43 FR 10140, Mar. 10, 1978, unless otherwise noted. (a) General. The administrator of a plan required to file an annual report...


annual report for a group insurance arrangement. (a) General. (1) A trust or other entity described in Sec. 2520.104- 43(b) that files an annual report for purposes of...


certain annual reporting requirements for assets held in a common or collective trust. (a) General. Under the authority of sections 103(b)(3)(G), 103(b)(4),...


certain annual reporting requirements for assets held in an insurance company pooled separate account. (a) General. Under the authority of sections 103(b)(3)(G),...


certification of information to plan administrator for annual reporting purposes. (a) General. In accordance with section 103(a)(2) of the Act, an insurance carrier or...


reportable transaction for Annual Return/Report. (a) General. For purposes of preparing the schedule of reportable transactions described in Sec. 2520.103-10(b)(6), and...


of accountant's examination. (a) General. Under the authority of section 103(a)(3)(C) of the Act, the examination and report of an independent qualified public...


bank or insurance carrier trusts and accounts. (a) General. Under the authority of sections 103(b)(4), 104(a)(3), 110 and 505 of the Act, an employee benefit plan, some...


schedules. (a) General. The administrator of a plan filing an annual report pursuant to Sec. 2520.103-1(a)(2) or the report for a group insurance...


investment purposes. (a) General. For purposes of preparing the schedule of assets held for investment purposes described in Sec. 2520.103-10(b)(1) and (2), assets...


and alternative method of compliance for annual reporting of investments in certain entities. (a) This section prescribes an exemption from and alternative method...


Requirements Sec. 2520.104-1 General. (The information collection requirements contained in subpart D were approved by the Office of Management and Budget...


Requirements Sec. 2520.104-4 Alternative method of compliance for certain successor pension plans. (a) General. Under the authority of section 110 of the Act,...


Requirements Sec. 2520.104-20 Limited exemption for certain small welfare plans. (a) Scope. Under the authority of section 104(a)(3) of the Act,...


Requirements Sec. 2520.104-21 Limited exemption for certain group insurance arrangements. (a) Scope. Under the authority of section 104(a)(3) of the Act,...


Requirements Sec. 2520.104-22 Exemption from reporting and disclosure requirements for apprenticeship and training plans. (a) An employee welfare benefit plan...


Requirements Sec. 2520.104-23 Alternative method of compliance for pension plans for certain selected employees. (a) Purpose and scope. (1) This section...


Requirements Sec. 2520.104-24 Exemption for welfare plans for certain selected employees. (a) Purpose and scope. (1) This section, under the authority of...


Requirements Sec. 2520.104-25 Exemption from reporting and disclosure for day care centers. Under the authority of section 104(a)(3) of the Act, day care...


Requirements Sec. 2520.104-26 Limited exemption for certain unfunded dues financed welfare plans maintained by employee organizations. (a) Scope. Under...


Requirements Sec. 2520.104-27 Alternative method of compliance for certain unfunded dues financed pension plans maintained by employee organizations. (a) Scope....


Requirements Sec. 2520.104-41 Simplified annual reporting requirements for plans with fewer than 100 participants. (a) General. (1) Under the authority of...


Requirements Sec. 2520.104-42 Waiver of certain actuarial information in the annual report. Under the authority of section 104(a)(2)(A) of ERISA, the...


Requirements Sec. 2520.104-43 Exemption from annual reporting requirement for certain group insurance arrangements. (a) General. Under the authority of...


Requirements Sec. 2520.104-44 Limited exemption and alternative method of compliance for annual reporting by unfunded plans and by certain insured plans. ...


Requirements Sec. 2520.104-46 Waiver of examination and report of an independent qualified public accountant for employee benefit plans with fewer than...


Requirements Sec. 2520.104-47 Limited exemption and alternative method of compliance for filing of insurance company financial reports. An administrator of an...


Requirements Sec. 2520.104-48 Alternative method of compliance for model simplified employee pensions--IRS Form 5305-SEP. Under the authority of section 110 of the...


Requirements Sec. 2520.104-49 Alternative method of compliance for certain simplified employee pensions. Under the authority of section 110 of the Act,...


Requirements Sec. 2520.104-50 Short plan years, deferral of accountant's examination and report. (a) Definition of ``short plan year.'' For purposes of...


of Labor. (The information collection requirements contained in subpart E were approved by the Office of Management and Budget under control...


requirements. (a) Filing obligation. Except as provided in Sec. 2520.104a-6, the administrator of an employee benefit plan required to file an annual report...


plans which are part of a group insurance arrangement. (a) General. A trust or other entity described in Sec. 2520.104- 43(b) that files an annual report in accordance...


furnish documents to the Secretary of Labor on request. (a) In general. (1) Under section 104(a)(6) of the Act, the administrator of an employee benefit plan subject to...


collection requirements contained in subpart F were approved by the Office of Management and Budget under control number 1210-0016) (a)...


(a) Obligation to furnish. Under the authority of sections 104(b)(1) and 104(c) of the Act, the plan administrator of an employee benefit plan subject to...


modifications to the plan and changes in the information required to be included in the summary plan description. (a) The administrator of an employee benefit plan subject...


of compliance for furnishing the summary plan description and summaries of material modifications of a pension plan to a retired participant, a separated participant with...


Report. (a) Obligation to furnish. Except as otherwise provided in paragraph (g) of this section, the administrator of any employee benefit plan shall furnish...


documents. (a) Application. The plan administrator of an employee benefit plan may impose a reasonable charge to cover the cost of furnishing to participants...


for maintenance and retention of records. (a) Scope and purpose. Sections 107 and 209 of the Employee Retirement Income Security Act of 1974, as amended...


[Code of Federal Regulations] [Title 29, Volume 9] [Revised as of July 1, 2003] From the U.S. Government Printing Office via GPO Access [CITE: 29CFR2530.200a] [Page 449] TITLE 29--LABOR CHAPTER XXV--EMPLOYEE BENEFITS SECURITY ADMINISTRATION, DEPARTMENT OF LABOR PART 2530--RULES AND REGULATIONS FOR MINIMUM STANDARDS FOR EMPLOYEE PENSION BENEFIT PLANS--Table of Contents Subpart A--Scope and General Provisions Sec. 2530.200a Scope. ...


Relationship of the Act and the Internal Revenue Code of 1954. (a) Part 2 of title I of the Employee Retirement Income Security Act of 1974 (hereinafter referred...


Treasury regulations for purposes of the Act. Regulations prescribed by the Secretary of the Treasury or his delegate under sections 410 and 411 of the...


Labor regulations for purposes of the Internal Revenue Code of 1954. The Secretary of Labor is specifically authorized to prescribe certain regulations...


Computation periods. (a) General. Under sections 202, 203 and 204 of the Act and sections 410 and 411 of the Code, an employee's statutory entitlements...


Hour of service. (a) General rule. An hour of service which must, as a minimum, be counted for the purposes of determining a year of service, a year...


Determination of service to be credited to employees. (a) General rule. For the purpose of determining the hours of service which must be credited to...


One-year break in service. (a) Computation period. (1) Under sections 202(b) and 203(b)(3) of the Act and sections 410(a)(5) and 411(a)(6) of the Code, a...


Maritime industry. (a) General. Sections 202(a)(3)(D), 203(b)(2)(D) and 204(b)(3)(E) of the Act and sections 410(a)(3)(D) and 411(a)(5)(D) and (b)(3)(E) of...


Day of service for employees in the maritime industry. (a) General rule. A day of service in the maritime industry which must, as a minimum, be counted for...


Determination of days of service to be credited to maritime employees. (a) General rule. For the purpose of determining the days of service which must be...


Coverage; general. Coverage of the provisions of part 2 of title I of the Act is determined under a multiple step process. First, the plan must be an...


Plans covered by part 2530. This part (2530) shall apply to any employee benefit plan described in section 4(a) of the Act (and not exempted under section...


2530.202-1 Eligibility to participate; general. (a) Section 202 of the Act and section 410 of the Code contain minimum participation standards relating to...


2530.202-2 Eligibility computation period. (a) Initial eligibility computation period. For purposes of section 202(a)(1)(A)(ii) of the Act and...


2530.203-1 Vesting; general. (a) Section 203 of the Act and section 411(a) of the Code contain minimum vesting standards relating to certain employee pension...


2530.203-2 Vesting computation period. (a) Designation of vesting computation periods. Except as provided in paragraph (b) of this section, a plan may designate...


2530.203-3 Suspension of pension benefits upon employment. (a) General. Section 203(a)(3)(B) of the Act provides that the right to the employer-derived portion of...


2530.204-1 Year of participation for benefit accrual. (a) General. Section 204(b)(1) of the Act and section 411(b)(1) of the Code contain certain...


2530.204-2 Accrual computation period. (a) Designation of accrual computation periods. A plan may designate any 12-consecutive-month period as the accrual...


2530.204-3 Alternative computation methods for benefit accrual. (a) General. Under section 204(b)(3)(A) of the Act and section 411(b)(3)(A) of the Code, a defined...


2530.204-4 Deferral of benefit accrual. For purposes of section 204(b)(1)(E) of the Act and section 411(b)(1)(E) of the Code (which permit deferral of benefit...


2530.210 Employer or employers maintaining the plan. (a) General statutory provisions--(1) Eligibility to participate and vesting. Except as otherwise provided...


2530.210 Employer or employers maintaining the plan. (a) General statutory provisions--(1) Eligibility to participate and vesting. Except as otherwise provided...
...


Sec. 403b-1, all assets of an employee benefit plan shall be held in trust by one or more trustees pursuant to a written trust instrument. (b) Specific applications....


of section 403(a) of the Act and section 403a-1 shall not apply-- (1) To any assets of a plan which consist of insurance contracts or policies issued by an...


Retirement Income Security Act of 1974 (the Act) provides, in part, that a fiduciary shall discharge his duties with respect to a plan with the care, skill, prudence,...


the district courts of the United States. (a) No fiduciary may maintain the indicia of ownership of any assets of a plan outside the jurisdiction of the district courts...


the district courts of the United States. (a) No fiduciary may maintain the indicia of ownership of any assets of a plan outside the jurisdiction of the district courts...
...


property. (a) In general. Section 407(a)(1) of the Employee Retirement Income Security Act of 1974 (the Act) states that except as otherwise provided in section 407...


qualifying employer real property. (a) In general. Section 407(a)(2) of the Employee Retirement Income Security Act of 1974 (the Act) provides that a plan may not acquire...


general. For purposes of this section and section 407(d)(5) of the Employee Retirement Income Security Act of 1974 (the Act), the term ``qualifying employer security'' means an...


general--(1) Type of plan. To be an ``ESOP'' (employee stock ownership plan), a plan described in section 407(d)(6)(A) of the Employee Retirement Income Security Act of 1974 (the...


are parties in interest with respect to the plan. (a)(1) In general. Section 408(b)(1) of the Employee Retirement Income Security Act of 1974 (the Act or ERISA) exempts...


general. Section 408(b)(2) of the Employee Retirement Income Security Act of 1974 (the Act) exempts from the prohibitions of section 406(a) of the Act payment by a plan to a party...


in this section, the terms listed below have the following meanings: (1) ESOP. The term ESOP refers to an employee stock ownership plan that meets the requirements of...


(a) In general. Section 408(b)(4) of the Employee Retirement Income Security Act of 1974 (the Act) exempts from the prohibitions of section 406 of the Act...


(a) In general. Section 408(b)(6) of the Employee Retirement Income Security Act of 1974 (the Act) exempts from the prohibitions of section 406 of the Act...


the Employee Retirement Income Security Act of 1974 (the Act) refers to the payment of reasonable compensation by a plan to a party in interest for services rendered to the...


for acquisition, sale, or lease of qualifying employer real property. (a) General. Section 408(e) of the Employee Retirement Income Security Act of 1974 (the...


with respect to the bonding provisions under section 412 of the Employee Retirement Income Security Act of 1974 (the Act), any plan official, as defined in...


and filing. All requests by participants, beneficiaries, and fiduciaries for the Secretary of Labor to exercise his enforcement authority pursuant to section 502(a)(5),...


Pursuant to the authority granted the Secretary under section 502(c)(2) of the Employee Retirement Income Security Act of 1974, as amended (the Act), the administrator (within...


Pursuant to the authority granted the Secretary under section 502(c)(6) of the Employee Retirement Income Security Act of 1974, as amended (the Act), the administrator (within...


Pursuant to the authority granted the Secretary under section 502(c)(7) of the Employee Retirement Income Security Act of 1974, as amended (the Act), the administrator (within...


of the Employee Retirement Income Security Act of 1974 (ERISA or the Act) permits the Secretary of Labor to assess a civil penalty against a party in interest who engages in...


of the Employee Retirement Income Security Act of 1974 (ERISA or the Act) permits the Secretary of Labor to assess a civil penalty against a party in interest who engages in...
...


Section 502(i) Sec. 2570.1 Scope of rules. The rules of practice set forth in this part are applicable to ``prohibited transaction...


Section 502(i) Sec. 2570.2 Definitions. For prohibited transaction penalty proceedings, this section shall apply in lieu of the...


Section 502(i) Sec. 2570.3 Service: Copies of documents and pleadings. For prohibited transaction penalty proceedings, this section...


Section 502(i) Sec. 2570.4 Parties. For prohibited transaction penalty proceedings, this section shall apply in lieu of Sec. 18.10 of...


Section 502(i) Sec. 2570.5 Consequences of default. For prohibited transaction penalty proceedings, this section shall apply in lieu of...


Section 502(i) Sec. 2570.6 Consent order or settlement. For prohibited transaction penalty proceedings, the following shall apply in...


Section 502(i) Sec. 2570.7 Scope of discovery. For prohibited transaction penalty proceedings, this section shall apply in lieu of Sec....


Section 502(i) Sec. 2570.8 Summary decision. For prohibited transaction penalty proceedings, this section shall apply in lieu of Sec. 18.41...


Section 502(i) Sec. 2570.9 Decision of the administrative law judge. For prohibited transaction penalty proceedings, this section...


Section 502(i) Sec. 2570.10 Review by the Secretary. (a) The Secretary may review a decision of an administrative law judge. Such a review...


Section 502(i) Sec. 2570.11 Scope of review. The review of the Secretary shall not be a de novo proceeding but rather a review of the...


Section 502(i) Sec. 2570.12 Procedures for review by the Secretary. (a) Upon receipt of a notice of appeal, the Secretary shall establish...


Exemption Applications Sec. 2570.30 Scope of rules. Source: 55 FR 32847, Aug. 10, 1990, unless otherwise noted. (a)(1) The...


Exemption Applications Sec. 2570.31 Definitions. For purposes of these procedures, the following definitions apply: (a) An affiliate of...


Exemption Applications Sec. 2570.32 Persons who may apply for exemptions. (a) The Department may initiate exemption proceedings on its...


Exemption Applications Sec. 2570.33 Applications the Department will not ordinarily consider. (a) The Department will not ordinarily consider: ...


Exemption Applications Sec. 2570.34 Information to be included in every exemption application. (a) All applications for exemptions must contain...


Exemption Applications Sec. 2570.35 Information to be included in applications for individual exemptions only. (a) Except as provided in...


Exemption Applications Sec. 2570.36 Where to file an application. The Department's prohibited transaction exemption program is administered by...


Exemption Applications Sec. 2570.37 Duty to amend and supplement exemption applications. (a) During the pendency of his exemption application,...


Exemption Applications Sec. 2570.38 Tentative denial letters. (a) If, after reviewing an exemption file, the Department concludes that it will...


Exemption Applications Sec. 2570.39 Opportunities to submit additional information. (a) An applicant may notify the Department of its intent...


Exemption Applications Sec. 2570.40 Conferences. (a) Any conference between the Department and an applicant pertaining to a requested...


Exemption Applications Sec. 2570.41 Final denial letters. (a) The Department will issue a final denial letter denying a requested...


Exemption Applications Sec. 2570.42 Notice of proposed exemption. If the Department tentatively decides, based on all the information submitted...


Exemption Applications Sec. 2570.43 Notification of interested persons by applicant. (a) If, as set forth in the exemption application,...


Exemption Applications Sec. 2570.44 Withdrawal of exemption applications. (a) An applicant may withdraw his application for an exemption at...


Exemption Applications Sec. 2570.45 Requests for reconsideration. (a) The Department will entertain one request for reconsideration of...


Exemption Applications Sec. 2570.46 Hearings in opposition to exemptions from restrictions on fiduciary self-dealing. (a) Any interested person who...


Exemption Applications Sec. 2570.47 Other hearings. (a) In its discretion, the Department may schedule a hearing on its own motion where...


Exemption Applications Sec. 2570.48 Decision to grant exemptions. (a) If, after considering all the facts and representations submitted by...


Exemption Applications Sec. 2570.49 Limits on the effect of exemptions. (a) An exemption does not take effect or protect parties in interest...


Exemption Applications Sec. 2570.50 Revocation or modification of exemptions. (a) If, after an exemption takes effect, changes in...


Exemption Applications Sec. 2570.51 Public inspection and copies. (a) The administrative record of each exemption application will be open...


Exemption Applications Sec. 2570.52 Effective date. This regulation is effective with respect to all applications for exemptions filed with...


Section 502(c)(2) Sec. 2570.60 Scope of rules. Source: 54 FR 26897, June 26, 1989, unless otherwise noted. The rules...


Section 502(c)(2) Sec. 2570.61 Definitions. For 502(c)(2) civil penalty proceedings, this section shall apply in lieu of the definitions...


Section 502(c)(2) Sec. 2570.62 Service: Copies of documents and pleadings. For 502(c)(2) penalty proceedings, this section shall apply in...


Section 502(c)(2) Sec. 2570.63 Parties, how designated. For 502(c)(2) civil penalty proceedings, this section shall apply in lieu of...


Section 502(c)(2) Sec. 2570.64 Consequences of default. For 502(c)(2) civil penalty proceedings, this section shall apply in lieu of...


Section 502(c)(2) Sec. 2570.65 Consent order or settlement. For 502(c)(2) civil penalty proceedings, the following shall apply in lieu...


Section 502(c)(2) Sec. 2570.66 Scope of discovery. For 502(c)(2) civil penalty proceedings, this section shall apply in lieu of Sec. 18.14...


Section 502(c)(2) Sec. 2570.67 Summary decision. For 502(c)(2) civil penalty proceedings, this section shall apply in lieu of Sec. 18.41...


Section 502(c)(2) Sec. 2570.68 Decision of the administrative law judge. For 502(c)(2) civil penalty proceedings, this section shall apply...


Section 502(c)(2) Sec. 2570.69 Review by the Secretary. (a) The Secretary may review a decision of an administrative law judge. Such a...


Section 502(c)(2) Sec. 2570.70 Scope of review. The review of the Secretary shall not be de novo proceeding but rather a review of the...


Section 502(c)(2) Sec. 2570.71 Procedures for review by the Secretary. (a) Upon receipt of the notice of appeal, the Secretary shall...


Section 502(l) Sec. 2570.80 Scope of rules. Source: 55 FR 25286, June 20, 1990, unless otherwise noted. The rules of practice...


Section 502(l) Sec. 2570.81 In general. Section 502(l) of the Employee Retirement Income Security Act of...


Section 502(l) Sec. 2570.82 Definitions. For purposes of this section: (a) 502(l) civil penalty proceedings means an...


Section 502(l) Sec. 2570.83 Assessment of civil penalty. (a) Except as described in Secs. 2570.85 and 2570.86 of this part, subsequent to...


Section 502(l) Sec. 2570.84 Payment of civil penalty. (a) The civil penalty must be paid within 60 days of service of the notice...


Section 502(l) Sec. 2570.85 Waiver or reduction of civil penalty. (a) At any time prior to the expiration of the payment period for...


Section 502(l) Sec. 2570.86 Reduction of penalty by other penalty assessments. The penalty assessed on a person pursuant to this section...


Section 502(l) Sec. 2570.87 Revision of assessment. If, based on the procedures described in Sec. 2570.84, 2570.85, or 2570.86,...


Section 502(l) Sec. 2570.88 Effective date. This section is effective June 20, 1990, and shall apply to assessments under section 502(l)...


Section 502(c)(5) Sec. 2570.90 Scope of rules. Effective Date Note: At 68 FR 17508, Apr. 9, 2003, subpart E of part 2570 was revised,...


Section 502(c)(5) Sec. 2570.91 Definitions. For 502(c)(5) civil penalty proceedings, this section shall apply in lieu of the definitions...


Section 502(c)(5) Sec. 2570.92 Service: Copies of documents and pleadings. For 502(c)(5) penalty proceedings, this section shall apply in...


Section 502(c)(5) Sec. 2570.93 Parties, how designated. For 502(c)(5) civil penalty proceedings, this section shall apply in lieu of...


Section 502(c)(5) Sec. 2570.94 Consequences of default. For 502(c)(5) civil penalty proceedings, this section shall apply in lieu of...


Section 502(c)(5) Sec. 2570.95 Consent order or settlement. For 502(c)(5) civil penalty proceedings, the following shall apply in lieu...


Section 502(c)(5) Sec. 2570.96 Scope of discovery. For 502(c)(5) civil penalty proceedings, this section shall apply in lieu of Sec....


Section 502(c)(5) Sec. 2570.97 Summary decision. For 502(c)(5) civil penalty proceedings, this section shall apply in lieu of Sec. 18.41...


Section 502(c)(5) Sec. 2570.98 Decision of the administrative law judge. For 502(c)(5) civil penalty proceedings, this section shall apply...


Section 502(c)(5) Sec. 2570.99 Review by the Secretary (a) The Secretary may review a decision of an administrative law judge. Such...


Section 502(c)(5) Sec. 2570.100 Scope of review. The review of the Secretary shall not be a de novo proceeding but rather a review of...


Section 502(c)(5) Sec. 2570.101 Procedures for review by the Secretary. (a) Upon receipt of the notice of appeal, the Secretary...


for the Assessment of Civil Penalties Under ERISA Section 502(c)(5) Sec. 2570.90 Scope of Rules. 2570.91 Definitions. 2570.92...


civil penalty proceedings, this section shall apply in lieu of the definitions in Sec. 18.2 of this title: (a) Adjudicatory proceeding means a judicial-type proceeding...


For 502(c)(6) penalty proceedings, this section shall apply in lieu of Sec. 18.3 of this title. (a) General. Copies of all documents shall be served on all parties...


502(c)(6) civil penalty proceedings, this section shall apply in lieu of Sec. 18.10 of this title. (a) The term ``party'' wherever used in this subpart shall include any...


civil penalty proceedings, this section shall apply in lieu of Sec. 18.5(a) and (b) of this title. Failure of the respondent to file an answer to the notice of...


For 502(c)(6) civil penalty proceedings, the following shall apply in lieu of Sec. 18.9 of this title. (a) General. At any time after the commencement of a proceeding, but...


penalty proceedings, this section shall apply in lieu of Sec. 18.14 of this title. (a) A party may file a motion to conduct discovery with the administrative...


penalty proceedings, this section shall apply in lieu of Sec. 18.41 of this title. (a) No genuine issue of material fact. (1) Where no issue of a material fact is found...


For 502(c)(6) civil penalty proceedings, this section shall apply in lieu of Sec. 18.57 of this title. (a) Proposed findings of fact, conclusions, and order. Within...


The Secretary may review a decision of an administrative law judge. Such a review may occur only when a party files a notice of appeal from a decision of an administrative law...


Secretary shall not be a de novo proceeding but rather a review of the record established before the administrative law judge. There shall be no opportunity for...


(a) Upon receipt of the notice of appeal, the Secretary shall establish a briefing schedule which shall be served on all parties of record. Upon motion of one or more of...


Source: 62 FR 40699, July 29, 1997, unless otherwise noted. Redesignated at 64 FR 42246, Aug. 3, 1999. Section 31001(s) of the Debt Collection Improvement...


penalty under section 209(b). In accordance with the requirements of the 1990 Act, as amended, the amount of the civil monetary penalty established by section 209(b)...


penalty under section 502(c)(1). In accordance with the requirements of the 1990 Act, as amended, the maximum amount of the civil monetary penalty established...


penalty under section 502(c)(2). In accordance with the requirements of the 1990 Act, as amended, the maximum amount of the civil monetary penalty established...


penalty under section 502(c)(3). In accordance with the requirements of the 1990 Act, as amended, the maximum amount of the civil monetary penalty established...


penalty under section 502(c)(5). In accordance with the requirements of the 1990 Act, as amended, the maximum amount of the civil monetary penalty established...


penalty under section 502(c)(6). In accordance with the requirements of the 1990 Act, as amended, the maximum amount of the civil monetary penalty established...


Section 13(a) of the Welfare and Pension Plans Disclosure Act of 1958, as amended, states, in part, that: Every administrator, officer and employee of any employee...


13. Only completely unfunded plans in which the plan benefits derive solely from the general assets of a union \1\ or employer, and in which plan assets are...


employees for purposes of section 13. (a) Administrator. (1) For purposes of the bonding provisions, the term ``administrator'' is defined in the same manner as under section...


plan. The affirmative requirement for bonding persons falling within the definition of administrator, officer or employee is applicable only if they handle ``funds or...


belong to a plan. With respect to any contribution to a plan from any source, including employers, employees or employee organizations, the point at which...


are ``handled'' so as to require bonding. (a) General scope of term. (1) A plan administrator, officer, or employee shall be deemed to be ``handling'' funds or...


The statute requires that the bond shall provide protection to the plan against loss by reason of acts of fraud or dishonesty on the part of a plan administrator,...


the bonding requirement relates. The bond required under section 13 is limited to protection for those duties and activities from which loss can arise through fraud...


The term ``fraud or dishonesty'' shall be deemed to encompass all those risks of loss that might arise through dishonest or fraudulent acts in handling of funds as delineated in...


bonds. Section 13 provides that ``any bond shall be in a form or of a type approved by the Secretary, including individual bonds or schedule or blanket forms of...


requires that the amount of the bond be fixed at the beginning of each calendar, policy or other fiscal year, as the case may be, which constitutes the reporting year of the plan...


the bond to ``handling''. A determination of whether persons falling within the definition of administrator, officer or employee are required to be bonded depends on...


of the bond. The amount of the bond depends on the amount of ``funds'' ``handled'', and shall be sufficient to provide bonding protection against risk of loss...


the preceding reporting year. (a) The amount of funds ``handled'' by each person falling within the definition of administrator, officer, or employee (or...


of funds to be ``handled'' during the current reporting year in those cases where there is no preceding reporting year. If for any reason a plan does not have...


bonds or where more than one plan is insured in the same bond. (a) As indicated in Sec. 2580.412-10, the Act permits the use of blanket, schedule and individual forms of bonds...


Administrator, after due notice and opportunity for hearing to all interested parties, and after consideration of the record, may prescribe an amount in excess...


13 is intended to protect funds or other property of all plans involved, bonds under this section shall allow for enforcement or recovery by those persons usually authorized to...


(a) Term of the bond. The amount of any required bond must in each instance be based on the amount of funds ``handled'' and must be fixed or estimated at...


(a) Additional bonding. Section 13 neither prevents additional bonding beyond that required by its terms, nor prescribes the form in which...


2580.412-21 Corporate sureties holding grants of authority from the Secretary of the Treasury. (a) The provisions of section 13 require that any surety company...


2580.412-22 Interests held in agents, brokers and surety companies. Section 13(c) prohibits the placing of bonds, required to be obtained pursuant to section 13,...


1963, unless otherwise noted. Redesignated at 50 FR 26706, June 28, 1985. Bonds Placed With Certain Reinsuring Companies An exemption from...


obtains only with respect to the requirement of section 13(a) of the Act that all bonds required thereunder shall have as surety thereon, a corporate surety company, which is...


of subsection 13(a) of the Welfare and Pension Plans Disclosure Act is granted by this section whereby arrangements (which otherwise comply with the requirements...


obtains only with respect to the requirements of section 13(a) of the Act that all bonds required thereunder shall have as surety thereon, a corporate surety company, which is...


requirements of subsections 13 (a) and (b) of the Welfare and Pension Plans Disclosure Act is granted whereby banking institutions and trust companies specified in...


only to those banking institutions and trust companies subject to regulation and examination by the Comptroller of the Currency or the Board of Governors of the...


of subsections 13 (a) and (b) of the Welfare and Pension Plans Disclosure Act is granted whereby savings and loan associations (including building and loan...


only to those savings and loan associations (including building and loan associations, cooperative banks and homestead associations) subject to regulation and examination...


of subsection 13 (a) and (b) of the Welfare and Pension Plans Disclosure Act is granted whereby any insurance carrier or service or other similar organization...


only to those insurance carriers, service or other similar organizations providing or underwriting welfare or pension plan benefits in accordance with State...


Source: 28 FR 14412, Dec. 27, 1963, unless otherwise noted. Redesignated at 50 FR 26706, June 28, 1985. (a) This part discusses the meaning and scope...


purpose of section 13(c), as shown by its legislative history, is similar to a closely related provision contained in section 502(a) of the Labor-Management Reporting and Disclosure...


and sureties. Since 13(c) is to be construed as disqualifying any agent, broker, surety or other company from having a bond placed through or with it, if the...


``party in interest''. (a) Under 13(c), an agent, broker or surety or other company is disqualified from having a bond placed through or with it if a ``party...


(a) General. Pending the issuance of permanent regulations under section 8478 of the Federal Employees' Retirement System Act of 1986 (FERSA),...


bond. (a) General. Under the authority of section 8478(b)(1) of the Federal Employees' Retirement System Act of 1986 (FERSA), the amount of a bond for each person, group...


(a) General. Any fiduciary with respect to the Thrift Savings Fund (Fund) established under the Federal Employees' Retirement System Act of 1986...


the bond. (a) General. Under the authority of section 8478(b)(1) of the Federal Employees' Retirement System Act of 1986 (FERSA), the amount of a bond for each...


any fiduciary with respect to the Thrift Savings Fund of the Federal Employees Retirement System who allocates a fiduciary responsibility to another person pursuant to...


of the Board as set forth at 5 U.S.C. 8472 may not be allocated to any person other than a member or members of the Board. (b) The Executive Director may...


by the Board must-- (1) Be authorized by the concurring vote of a majority of the total membership of the Board; (2) Be made in writing, signed by the Chairman of...


(a) Any allocation made pursuant to this part must be revocable at will by the allocating fiduciary, subject only to notice which is reasonable under the circumstances. (b)...


been allocated to another person or persons pursuant to the procedures contained in this part, the allocating fiduciary shall not be liable for any act or omission of...


(a) Act means the Federal Employees' Retirement System Act of 1986, 5 U.S.C. 8401 et seq. (Supp. III 1997); (b) Board means the Federal Retirement Thrift Investment...


29, 1988, and liability for any transaction which occurs on or after this date will be governed by this section only. In accordance with section 114(a) of Pub. L. 99-556,...


FERSA, 5 U.S.C. 8477(e)(1)(B), permits the Secretary of Labor to assess a civil penalty against a party in interest who engages in a prohibited transaction with respect to...


Orders, Coverage for Adopted Children Sec. 2590.609-2 National Medical Support Notice. (a) This section promulgates the National Medical Support Notice (the...


Preexisting Condition Exclusion Periods Sec. 2590.701-1 Basis and scope. Source: 62 FR 16941, Apr. 8, 1997. Redesignated at 65 FR 82142, Dec. 27,...


on Preexisting Condition Exclusion Periods Sec. 2590.701-2 Definitions. Unless otherwise provided, the definitions in this section govern in applying...


on Preexisting Condition Exclusion Periods Sec. 2590.701-3 Limitations on preexisting condition exclusion period. (a) Preexisting condition exclusion--(1)...


on Preexisting Condition Exclusion Periods Sec. 2590.701-4 Rules relating to creditable coverage. (a) General rules--(1) Creditable coverage. For purposes...


on Preexisting Condition Exclusion Periods Sec. 2590.701-4 Rules relating to creditable coverage. (a) General rules--(1) Creditable coverage. For purposes...
...


on Preexisting Condition Exclusion Periods Sec. 2590.701-6 Special enrollment periods. (a) Special enrollment for certain individuals who lose...


Preexisting Condition Exclusion Periods Sec. 2590.701-7 HMO affiliation period as alternative to preexisting condition exclusion. (a) In general. A group...


Preexisting Condition Exclusion Periods Sec. 2590.701-7 HMO affiliation period as alternative to preexisting condition exclusion. (a) In general. A group...
...


benefits for mothers and newborns. Source: 62 FR 16941, Apr. 8, 1997. Redesignated at 65 FR 62142, Dec. 27, 2000, unless otherwise noted. (a)...


benefits for mothers and newborns. Source: 62 FR 16941, Apr. 8, 1997. Redesignated at 65 FR 62142, Dec. 27, 2000, unless otherwise noted. (a)...
...


flexibility; construction. Source: 62 FR 16941, Apr. 8, 1997. Redesignated at 65 FR 82142, Dec. 27, 2000, unless otherwise noted. (a) Continued...


to group health plans. (a) General exception for certain small group health plans. The requirements of this part 7 of subtitle B of title I of the Act do not...


(a) General applicability dates--(1) Non-collectively bargained plans. Part 7 of Subtitle B of Title I of the Act and Secs. 2590.701-1 through 2590.701-7,...




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