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2010-09-22
article
Prohibited Transaction Exemption for Provision of Investment Advice to Participants in Individual Account Plans
Notices
D09002ee1bddf89d5
D09002ee1bddf8a5e
United States
Department of Labor
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org
United States Government Agency or Subagency
United States
Employee Benefits Security Administration
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org
United States Government Agency or Subagency
Section 601 of the Pension Protection Act of 2006 (the PPA) (Pub. L. 109-280) amended section 408 of the Employee Retirement Income Security Act of 1974 (ERISA) and section 4975 of the Internal Revenue Code (the Code) to add a prohibited transaction exemption for the provision of investment advice to participants and beneficiaries of individual account plans that permit the direction of assets in their accounts, and for certain related transactions, if the investment advice is provided under an ``eligible investment advice arrangement,'' as defined in the statute. The purpose of this notice is to request information from the public relating to the requirements in the new provisions that a computer model which serves as the basis for an eligible investment advice arrangement be certified as meeting specific criteria, and that information regarding certain fees and compensation be provided to participants and beneficiaries.
71 FR 70429
https://www.govinfo.gov/app/details/FR-2006-12-04/E6-20402
E6-20402
fr04de06-83
RIN 1210-AB13
4510-29-P
https://www.govinfo.gov/app/details/FR-2006-12-04/E6-20402
https://www.govinfo.gov/content/pkg/FR-2006-12-04/html/E6-20402.htm
https://www.govinfo.gov/content/pkg/FR-2006-12-04/pdf/E6-20402.pdf
3 p.
70429
70431
71 FR 70429
Regulation Identification Number 1210-AB13
RIN 1210-AB13
Prohibited Transaction Exemption for Provision of Investment Advice to Participants in Individual Account Plans; Federal Register Vol. 71, Issue
NOTICE
E6-20402
DEPARTMENT OF LABOR
Employee Benefits Security Administration
2007-01-30
4510-29-P
E6-20402
Request for information.
Section 601 of the Pension Protection Act of 2006 (the PPA) (Pub. L. 109-280) amended section 408 of the Employee Retirement Income Security Act of 1974 (ERISA) and section 4975 of the Internal Revenue Code (the Code) to add a prohibited transaction exemption for the provision of investment advice to participants and beneficiaries of individual account plans that permit the direction of assets in their accounts, and for certain related transactions, if the investment advice is provided under an ``eligible investment advice arrangement,'' as defined in the statute. The purpose of this notice is to request information from the public relating to the requirements in the new provisions that a computer model which serves as the basis for an eligible investment advice arrangement be certified as meeting specific criteria, and that information regarding certain fees and compensation be provided to participants and beneficiaries.
Written or electronic responses should be submitted to the Department of Labor on or before January 30, 2007.
Katherine D. Lewis or Ruel B. Pile, Office of Regulations and Interpretations, Employee Benefits Security Administration, Room N-5669, U.S. Department of Labor, Washington, DC 20210, telephone (202) 693-8510. This is not a toll-free number.
Employee Retirement Income Security Act:
Participants in individual account plans; prohibited transaction exemption for provision of investment advice,
e-ORI@dol.gov
www.dol.gov/ebsa
www.regulations.gov
Federal Register
Vol. 71, no. 232
Office of the Federal Register, National Archives and Records Administration
2006-12-04
continuing
daily
deposited
born digital
195 p.
Table of Contents:
AE 2.7:
GS 4.107:
AE 2.106:
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https://www.govinfo.gov/app/details/FR-2006-12-04
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0097-6326
0042-1219
0364-1406
769-004-00000-9
000582072
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https://www.govinfo.gov/app/details/FR-2006-12-04
https://www.govinfo.gov/content/pkg/FR-2006-12-04/pdf/FR-2006-12-04.pdf
https://www.govinfo.gov/content/pkg/FR-2006-12-04/xml/FR-2006-12-04.xml
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2010-09-22
2023-05-02
FR-2006-12-04
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FR-2006-12-04
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