Documents

Proposed Amendment to Prohibited Transaction Exemption (PTE) 75-1, Exemptions From Prohibitions Respecting Certain Classes of Transactions Involving Employee Benefit Plans and Certain Broker-Dealers, Reporting Dealers and Banks

Federal Register · Notice · Apr 28, 2004

Any such comments should be sent by e-mail to lloyd.karen@dol.gov or by fax to 202-219-0204 by the end of the scheduled comment period. … time period set forth above.

Group Health Plans and Health Insurance Issuers Relating to Coverage of Preventive Services Under the Patient Protection and Affordable Care Act

Federal Register · Rule · Aug 3, 2011

Please allow sufficient time for mailed comments to be received before the close of the comment period. 3. By express or overnight mail . … Comments mailed to the addresses indicated as appropriate for hand or courier delivery may be delayed and received after the comment period.

Grant of Individual Exemption Involving The Bear Stearns Companies, Inc. (BS), Bear Stearns Asset Management Inc. (BSAM), and Bear, Stearns & Co. Inc. (BSC) (Collectively, the Applicants) Located in New York, NY

Federal Register · Notice · Feb 12, 2007

In this regard, in accordance with the Department's instructions, the Applicants sent a letter on December 19, 2006, to these Interested Persons notifying them that the comment period was extended until … All comments were made part of the record. During the comment period, the Department received no requests for a hearing. The Department did receive a comment letter from the Applicants.

Notice of Exemption Involving Credit Suisse Group AG (CSG) and Its Current and Future Affiliates, Including Credit Suisse AG (CSAG) (Collectively, Credit Suisse or the Applicant), Located in Zurich, Switzerland

Federal Register · Notice · Nov 14, 2019

1974 (ERISA or the Act) and/or the Internal Revenue Code of 1986 (the Code). … The individuals had adequate time (a 45 day comment period, plus one additional week) to supplement their letter with all relevant information that was available to them.

Exemption for Certain Prohibited Transaction Restrictions Involving Citigroup, Inc. (Citigroup or the Applicant), Located in New York, New York

Federal Register · Notice · Jan 23, 2023

Notice) to all interested persons that included a copy of Federal Register version of the Proposed Exemption and a cover letter notifying interested persons that the Department extended the comment period … The Department's Requests for Comments on Specific Issues V.

[Application Nos. and Proposed Exemptions; D-11447, Verizon Investment Management Company; D-11470, M&T Bank Corporation Pension Plan; D-11493, Schloer Enterprises, Inc. 401(k) Profit Sharing Plan (the Plan); and D-11501, Morgan Stanley & Co. Incorporated, et al.]

Federal Register · Notice · Feb 25, 2009

Written Comments and Hearing Requests All interested persons are invited to submit written comments or requests for a hearing on the pending exemptions, unless otherwise stated in the Notice of Proposed … Any such comments or requests should be sent either by e-mail to: “moffitt.betty@dol.gov”, or by FAX to (202) 219-0204 by the end of the scheduled comment period.

Exemption From Certain Prohibited Transaction Restrictions Involving Comcast Corporation (Comcast or the Applicant) Located in Philadelphia, PA

Federal Register · Notice · Sep 2, 2022

of 1974 (ERISA or the Act) and/or the Internal Revenue Code of 1986 (the Code). … Comments From the Applicant I.

Prohibited Transaction Exemptions and Grant of Individual Exemptions involving: 2009-13, The Bank of New York Mellon Corporation (the Applicant); and 2009-14, UBS AG (UBS), and Its Affiliates UBS Financial Services Inc. (UBS Financial), and UBS Financial Services Inc. of Puerto Rico (PR Financial) (Collectively, the Applicants)

Federal Register · Notice · May 6, 2009

At the conclusion of the adjusted comment period on February 17, 2009, the Department received a written comment from the Applicant regarding the content of the Notice. … At the conclusion of the comment period, the Department had not received any written comments or requests for a hearing from interested persons with respect to the Notice.

Grant of Individual Exemptions; Harris Nesbitt Corporation (Harris Nesbitt)

Federal Register · Notice · Jun 2, 2006

Public comments were received by the Department as described in the granted exemption. … Therefore, all comments and requests for a hearing were due by March 14, 2006. During the comment period, the Department received no comments and no requests for a public hearing.

Prohibited Transaction Exemption 2003-32; [Exemption Application No. D-11067] et al.; Grant of Individual Exemptions; Sorensen Broadcasting Employee Stock Ownership Plan and Trust, et al

Federal Register · Notice · Nov 14, 2003

At the close of the comment period, the Department forwarded a copy of the comment letter to the applicant and requested that the applicant respond in writing to the issues raised by the commentators. … period which would require the convening of a hearing.

Class Exemption for Principal Transactions in Certain Assets Between Investment Advice Fiduciaries and Employee Benefit Plans and IRAs

Federal Register · Rule · Apr 8, 2016

The proposals initially provided for 75-day comment periods, ending on July 6, 2015, but the Department extended the comment periods to July 21, 2015. … However, the majority of industry commenters requested a two- to three-year transition period.

Statutory Exemption for Cross-Trading of Securities

Federal Register · Rule · Oct 7, 2008

deterrent to ensure that the compliance officer will act independently in periodically reviewing purchases and sales under the investment manager's cross-trading program. … Several of the commenters also proposed that, rather than conducting a review of each individual cross-trade, the compliance officer should be permitted to periodically assess the overall effectiveness

Proposed Amendment To Extend the Effective Dates for Prohibited Transaction Exemption (PTE) 2016-10 Involving Royal Bank of Canada (Together With Its Current and Future Affiliates, RBC) Located in Toronto, Canada, and PTE 2016-11 Involving Northern Trust Corporation (Together With Its Current and Future Affiliates, Northern) Located in Chicago, Illinois

Federal Register · Notice · Feb 21, 2025

The proposed exemption has a 45-day notice and comment period that expires on March 3, 2025. … The proposed exemption has a 45-day notice and comment period that expires on March 7, 2025. B.

Proposed Exemption From Certain Prohibited Transaction Restrictions for Certain Asset Managers Related to UBS AG (UBS) Located in Zurich, Switzerland

Federal Register · Notice · Feb 26, 2026

Follow the “Submit a comment” instructions. Any such comments or requests should be sent by the end of the scheduled comment period. … (f) The term “Exemption Period” means the period beginning on May 5, 2026, and ending on May 4, 2031.

Pension Benefit Statements-Lifetime Income Illustrations

Federal Register · Rule · Sep 18, 2020

(7) Interim Final Rule Comments; Dates (a) Justification for Interim Final Rule; Comments The Department is publishing this IFR in response to Congress's explicit direction in the SECURE Act, to … a 12-month period.

Proposed Exemptions From Certain Prohibited Transaction Restrictions

Federal Register · Notice · Apr 9, 2014

Any such comments or requests should be sent either by email to: moffitt.betty@dol.gov, or by FAX to (202) 219-0204 by the end of the scheduled comment period. … All comments will be made available to the public.

Individual Exemption Involving General Motors Company, General Motors Holdings LLC, and General Motors LLC, Located in Detroit, MI

Federal Register · Notice · Oct 13, 2010

period, to November 9, 2009. … The comment disclosed that during the period October 15, 2009, through November 2, 2009, New GM underwent a corporate reorganization.

Proposed Exemptions From Certain Prohibited Transaction Restrictions

Federal Register · Notice · Jul 9, 2013

Any such comments or requests should be sent either by email to: moffitt.betty@dol.gov, or by FAX to (202) 219-0204 by the end of the scheduled comment period. … Shortly before the beginning of the Exchange Period, however, NewCo's organizers concluded that it would not register interests in NewCo under either the Securities Act of 1933 (the 1933 Act) or the Investment

Exemption From Certain Prohibited Transaction Restrictions Involving Pacific Investment Management Company LLC (PIMCO or the Applicant) Located in Newport Beach, California

Federal Register · Notice · Jul 5, 2023

of 1974 (ERISA or the Act) and/or the Internal Revenue Code of 1986 (the Code). … Comments From the Applicant Comment 1: Exemption Period Section I(d) of the proposed exemption states: The term “Exemption Period” means May 17, 2023, through May 16, 2028.

Exemption From Certain Prohibited Transaction Restrictions Involving JPMorgan Chase Co.

Federal Register · Notice · Jan 10, 2023

of 1974 (ERISA or the Act) and/or the Internal Revenue Code of 1986 (the Code). … Comments From the Public The Department received one written comment in support of the exemption and another written comment requesting that the exemption be denied.