Investment Advice Participants And Beneficiaries Us Employee Benefits Security Administration Regulation Ebsa 2018 Edition
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| Author | : The Law The Law Library |
| Publisher | : Createspace Independent Publishing Platform |
| Total Pages | : 68 |
| Release | : 2018-07-22 |
| Genre | : |
| ISBN | : 9781723554742 |
Investment Advice - Participants and Beneficiaries (US Employee Benefits Security Administration Regulation) (EBSA) (2018 Edition) The Law Library presents the complete text of the Investment Advice - Participants and Beneficiaries (US Employee Benefits Security Administration Regulation) (EBSA) (2018 Edition). Updated as of May 29, 2018 This document contains final rules under the Employee Retirement Income Security Act, and parallel provisions in the Internal Revenue Code of 1986, relating to the provision of investment advice by a fiduciary adviser to participants and beneficiaries in participant-directed individual account plans, such as 401(k) plans, and beneficiaries of individual retirement accounts (and certain similar plans). These rules affect sponsors, fiduciaries, participants and beneficiaries of participant-directed individual account plans, as well as providers of investment and investment advice-related services to such plans. This book contains: - The complete text of the Investment Advice - Participants and Beneficiaries (US Employee Benefits Security Administration Regulation) (EBSA) (2018 Edition) - A table of contents with the page number of each section
| Author | : The Law The Law Library |
| Publisher | : Createspace Independent Publishing Platform |
| Total Pages | : 102 |
| Release | : 2018-07-20 |
| Genre | : |
| ISBN | : 9781723456299 |
Class Exemption for Principal Transactions in Certain Assets between Investment Advice Fiduciaries and Employee Benefit Plans (US Employee Benefits Security Administration Regulation) (EBSA) (2018 Edition) The Law Library presents the complete text of the Class Exemption for Principal Transactions in Certain Assets between Investment Advice Fiduciaries and Employee Benefit Plans (US Employee Benefits Security Administration Regulation) (EBSA) (2018 Edition). Updated as of May 29, 2018 This document contains an exemption from certain prohibited transactions provisions of the Employee Retirement Income Security Act of 1974 (ERISA) and the Internal Revenue Code (the Code). The provisions at issue generally prohibit fiduciaries with respect to employee benefit plans and individual retirement accounts (IRAs) from purchasing and selling investments when the fiduciaries are acting on behalf of their own accounts (principal transactions). The exemption permits principal transactions and riskless principal transactions in certain investments between a plan, plan participant or beneficiary account, or an IRA, and a fiduciary that provides investment advice to the plan or IRA, under conditions to safeguard the interests of these investors. The exemption affects participants and beneficiaries of plans, IRA owners, and fiduciaries with respect to such plans and IRAs. This book contains: - The complete text of the Class Exemption for Principal Transactions in Certain Assets between Investment Advice Fiduciaries and Employee Benefit Plans (US Employee Benefits Security Administration Regulation) (EBSA) (2018 Edition) - A table of contents with the page number of each section
| Author | : The Law The Law Library |
| Publisher | : Createspace Independent Publishing Platform |
| Total Pages | : 164 |
| Release | : 2018-07-19 |
| Genre | : |
| ISBN | : 9781723438387 |
Best Interest Contract Exemption (US Employee Benefits Security Administration Regulation) (EBSA) (2018 Edition) The Law Library presents the complete text of the Best Interest Contract Exemption (US Employee Benefits Security Administration Regulation) (EBSA) (2018 Edition). Updated as of May 29, 2018 This document contains an exemption from certain prohibited transactions provisions of the Employee Retirement Income Security Act of 1974 (ERISA) and the Internal Revenue Code (the Code). The provisions at issue generally prohibit fiduciaries with respect to employee benefit plans and individual retirement accounts (IRAs) from engaging in self-dealing and receiving compensation from third parties in connection with transactions involving the plans and IRAs. The exemption allows entities such as registered investment advisers, broker-dealers and insurance companies, and their agents and representatives, that are ERISA or Code fiduciaries by reason of the provision of investment advice, to receive compensation that may otherwise give rise to prohibited transactions as a result of their advice to plan participants and beneficiaries, IRA owners and certain plan fiduciaries (including small plan sponsors). The exemption is subject to protective conditions to safeguard the interests of the plans, participants and beneficiaries and IRA owners. The exemption affects participants and beneficiaries of plans, IRA owners and fiduciaries with respect to such plans and IRAs. This book contains: - The complete text of the Best Interest Contract Exemption (US Employee Benefits Security Administration Regulation) (EBSA) (2018 Edition) - A table of contents with the page number of each section
| Author | : The Law The Law Library |
| Publisher | : Createspace Independent Publishing Platform |
| Total Pages | : 26 |
| Release | : 2018-07-22 |
| Genre | : |
| ISBN | : 9781723559617 |
Prohibited Transaction Exemptions - Class Exemption for Principal Transactions in Certain Assets between Investment Advice Fiduciaries (US Employee Benefits Security Administration Regulation) (EBSA) (2018 Edition) The Law Library presents the complete text of the Prohibited Transaction Exemptions - Class Exemption for Principal Transactions in Certain Assets between Investment Advice Fiduciaries (US Employee Benefits Security Administration Regulation) (EBSA) (2018 Edition). Updated as of May 29, 2018 This document makes technical corrections to the Department of Labor's Class Exemption for Principal Transactions in Certain Assets between Investment Advice Fiduciaries and Employee Benefit Plans and IRAs (Principal Transactions Exemption), which was published in the Federal Register on April 8, 2016. The Principal Transactions Exemption permits principal transactions and riskless principal transactions in certain investments between a plan, plan participant or beneficiary account, or an IRA, and a fiduciary that provides investment advice to the plan or IRA, under conditions to safeguard the interests of these investors. The corrections either fix typographical errors or make minor clarifications to provisions that might otherwise be confusing. This book contains: - The complete text of the Prohibited Transaction Exemptions - Class Exemption for Principal Transactions in Certain Assets between Investment Advice Fiduciaries (US Employee Benefits Security Administration Regulation) (EBSA) (2018 Edition) - A table of contents with the page number of each section
| Author | : The Law The Law Library |
| Publisher | : Createspace Independent Publishing Platform |
| Total Pages | : 58 |
| Release | : 2018-07-20 |
| Genre | : |
| ISBN | : 9781723460258 |
Default Investment Alternatives Under Participant Directed Individual Account Plans (US Employee Benefits Security Administration Regulation) (EBSA) (2018 Edition) The Law Library presents the complete text of the Default Investment Alternatives Under Participant Directed Individual Account Plans (US Employee Benefits Security Administration Regulation) (EBSA) (2018 Edition). Updated as of May 29, 2018 This document contains a final regulation that implements recent amendments to title I of the Employee Retirement Income Security Act of 1974 (ERISA) enacted as part of the Pension Protection Act of 2006, Public Law 109-280, under which a participant in a participant directed individual account pension plan will be deemed to have exercised control over assets in his or her account if, in the absence of investment directions from the participant, the plan invests in a qualified default investment alternative. A fiduciary of a plan that complies with this final regulation will not be liable for any loss, or by reason of any breach, that occurs as a result of such investments. This regulation describes the types of investments that qualify as default investment alternatives under section 404(c)(5) of ERISA. Plan fiduciaries remain responsible for the prudent selection and monitoring of the qualified default investment alternative. The regulation conditions relief upon advance notice to participants and beneficiaries describing the circumstances under which contributions or other assets will be invested on their behalf in a qualified default investment alternative, the investment objectives of the qualified default investment alternative, and the right of participants and beneficiaries to direct investments out of the qualified default investment alternative. This regulation will affect plan sponsors and fiduciaries of participant directed individual account plans, the participants and beneficiaries in such plans, and the service providers to such plans. This book contains: - The complete text of the Default Investment Alternatives Under Participant Directed Individual Account Plans (US Employee Benefits Security Administration Regulation) (EBSA) (2018 Edition) - A table of contents with the page number of each section
| Author | : The Law The Law Library |
| Publisher | : Createspace Independent Publishing Platform |
| Total Pages | : 60 |
| Release | : 2018-07-19 |
| Genre | : |
| ISBN | : 9781723406270 |
Amendments to and Partial Revocation of Prohibited Transaction Exemption 86-128 for Securities Transactions Involving Employee Benefit Plans (US Employee Benefits Security Administration Regulation) (EBSA) (2018 Edition) The Law Library presents the complete text of the Amendments to and Partial Revocation of Prohibited Transaction Exemption 86-128 for Securities Transactions Involving Employee Benefit Plans (US Employee Benefits Security Administration Regulation) (EBSA) (2018 Edition). Updated as of May 29, 2018 This document contains amendments to Prohibited Transaction Exemptions (PTEs) 86-128 and 75-1, exemptions from certain prohibited transaction provisions of the Employee Retirement Income Security Act of 1974 (ERISA) and the Internal Revenue Code of 1986 (the Code). The ERISA and Code provisions at issue generally prohibit fiduciaries with respect to employee benefit plans and individual retirement accounts (IRAs) from engaging in self-dealing in connection with transactions involving plans and IRAs. PTE 86-128 allows fiduciaries to receive compensation in connection with certain securities transactions entered into by plans and IRAs. The amendments increase the safeguards of the exemption. This document also contains a revocation of PTE 86-128 with respect to transactions involving investment advice fiduciaries and IRAs, and of PTE 75-1, Part II(2), and PTE 75-1, Parts I(b) and I(c), in light of existing or newly finalized relief, including the relief provided in the "Best Interest Contract Exemption," published elsewhere in this issue of the Federal Register. The amendments and revocations affect participants and beneficiaries of plans, IRA owners and certain fiduciaries of plans and IRAs. This book contains: - The complete text of the Amendments to and Partial Revocation of Prohibited Transaction Exemption 86-128 for Securities Transactions Involving Employee Benefit Plans (US Employee Benefits Security Administration Regulation) (EBSA) (2018 Edition) - A table of contents with the page number of each section
| Author | : The Law The Law Library |
| Publisher | : Createspace Independent Publishing Platform |
| Total Pages | : 32 |
| Release | : 2018-07-19 |
| Genre | : |
| ISBN | : 9781723405174 |
Amendments to Class Exemptions 75-1, 77-4, 80-83 and 83-1 (US Employee Benefits Security Administration Regulation) (EBSA) (2018 Edition) The Law Library presents the complete text of the Amendments to Class Exemptions 75-1, 77-4, 80-83 and 83-1 (US Employee Benefits Security Administration Regulation) (EBSA) (2018 Edition). Updated as of May 29, 2018 This document contains amendments to prohibited transaction exemptions (PTEs) 75-1, 77-4, 80-83 and 83-1. Generally, the Employee Retirement Income Security Act of 1974 (ERISA) and the Internal Revenue Code (the Code) prohibit fiduciaries with respect to employee benefit plans and individual retirement accounts (IRAs) from engaging in self-dealing, including using their authority, control or responsibility to affect or increase their own compensation. These exemptions generally permit fiduciaries to receive compensation or other benefits as a result of the use of their fiduciary authority, control or responsibility in connection with investment transactions involving plans or IRAs. The amendments require the fiduciaries to satisfy uniform Impartial Conduct Standards in order to obtain the relief available under each exemption. The amendments affect participants and beneficiaries of plans, IRA owners, and fiduciaries with respect to such plans and IRAs. This book contains: - The complete text of the Amendments to Class Exemptions 75-1, 77-4, 80-83 and 83-1 (US Employee Benefits Security Administration Regulation) (EBSA) (2018 Edition) - A table of contents with the page number of each section
| Author | : The Law The Law Library |
| Publisher | : Createspace Independent Publishing Platform |
| Total Pages | : 26 |
| Release | : 2018-07-19 |
| Genre | : |
| ISBN | : 9781723404153 |
Amendment to Prohibited Transaction Exemption 75-1, Part V, Exemptions From Prohibitions Respecting Certain Classes of Transactions (US Employee Benefits Security Administration Regulation) (EBSA) (2018 Edition) The Law Library presents the complete text of the Amendment to Prohibited Transaction Exemption 75-1, Part V, Exemptions From Prohibitions Respecting Certain Classes of Transactions (US Employee Benefits Security Administration Regulation) (EBSA) (2018 Edition). Updated as of May 29, 2018 This document contains an amendment to PTE 75-1, Part V, a class exemption from certain prohibited transactions provisions of the Employee Retirement Income Security Act of 1974 (ERISA) and the Internal Revenue Code (the Code). The provisions at issue generally prohibit fiduciaries of employee benefit plans and individual retirement accounts (IRAs), from lending money or otherwise extending credit to the plans and IRAs and receiving compensation in return. PTE 75-1, Part V, permits the extension of credit to a plan or IRA by a broker-dealer in connection with the purchase or sale of securities; however, it originally did not permit the receipt of compensation for an extension of credit by broker-dealers that are fiduciaries with respect to the assets involved in the transaction. This amendment permits investment advice fiduciaries to receive compensation when they extend credit to plans and IRAs to avoid a failed securities transaction. The amendment affects participants and beneficiaries of plans, IRA owners, and fiduciaries with respect to such plans and IRAs. This book contains: - The complete text of the Amendment to Prohibited Transaction Exemption 75-1, Part V, Exemptions From Prohibitions Respecting Certain Classes of Transactions (US Employee Benefits Security Administration Regulation) (EBSA) (2018 Edition) - A table of contents with the page number of each section
| Author | : The Law The Law Library |
| Publisher | : Createspace Independent Publishing Platform |
| Total Pages | : 36 |
| Release | : 2018-07-14 |
| Genre | : |
| ISBN | : 9781723137419 |
18-Month Extension of Transition Period and Delay of Applicability Dates - Best Interest Contract Exemption (PTE 2016-01) (US Employee Benefits Security Administration Regulation) (EBSA) (2018 Edition) The Law Library presents the complete text of the 18-Month Extension of Transition Period and Delay of Applicability Dates - Best Interest Contract Exemption (PTE 2016-01) (US Employee Benefits Security Administration Regulation) (EBSA) (2018 Edition). Updated as of May 29, 2018 This document extends the special transition period under sections II and IX of the Best Interest Contract Exemption and section VII of the Class Exemption for Principal Transactions in Certain Assets between Investment Advice Fiduciaries and Employee Benefit Plans and IRAs for 18 months. This document also delays the applicability of certain amendments to Prohibited Transaction Exemption 84-24 for the same period. The primary purpose of the amendments is to give the Department of Labor the time necessary to consider public comments under the criteria set forth in the Presidential Memorandum of February 3, 2017, including whether possible changes and alternatives to these exemptions would be appropriate in light of the current comment record and potential input from, and action by, the Securities and Exchange Commission and state insurance commissioners. The Department is granting the delay because of its concern that, without a delay in the applicability dates, consumers may face significant confusion, and regulated parties may incur undue expense to comply with conditions or requirements that the Department ultimately determines to revise or repeal. The former transition period was from June 9, 2017, to January 1, 2018. The new transition period ends on July 1, 2019, rather than on January 1, 2018. The amendments to these exemptions affect participants and beneficiaries of plans, IRA owners and fiduciaries with respect to such plans and IRAs. This book contains: - The complete text of the 18-Month Extension of Transition Period and Delay of Applicability Dates - Best Interest Contract Exemption (PTE 2016-01) (US Employee Benefits Security Administration Regulation) (EBSA) (2018 Edition) - A table of contents with the page number of each section
| Author | : The Law The Law Library |
| Publisher | : Createspace Independent Publishing Platform |
| Total Pages | : 54 |
| Release | : 2018-07-22 |
| Genre | : |
| ISBN | : 9781723575440 |
Termination of Abandoned Individual Account Plans (US Employee Benefits Security Administration Regulation) (EBSA) (2018 Edition) The Law Library presents the complete text of the Termination of Abandoned Individual Account Plans (US Employee Benefits Security Administration Regulation) (EBSA) (2018 Edition). Updated as of May 29, 2018 This document contains three final regulations under the Employee Retirement Income Security Act of 1974 (ERISA or the Act) that facilitate the termination of, and distribution of benefits from, individual account pension plans that have been abandoned by their sponsoring employers. The first regulation establishes a procedure for financial institutions holding the assets of an abandoned individual account plan to terminate the plan and distribute benefits to the plan's participants and beneficiaries, with limited liability. The second regulation provides a fiduciary safe harbor for making distributions from terminated plans on behalf of participants and beneficiaries who fail to make an election regarding a form of benefit distribution. The third regulation establishes a simplified method for filing a terminal report for abandoned individual account plans. Appendices to these rules contain model notices for use in connection therewith. These regulations will affect fiduciaries, plan service providers, and participants and beneficiaries of individual account pension plans. This book contains: - The complete text of the Termination of Abandoned Individual Account Plans (US Employee Benefits Security Administration Regulation) (EBSA) (2018 Edition) - A table of contents with the page number of each section
