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2014-05-29
article
Investment Advice-Participants and Beneficiaries
Part V
Proposed Rules
D09002ee1bdd8883a
D09002ee1bdd8892f
United States
Department of Labor
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org
United States Government Agency or Subagency
United States
Employee Benefits Security Administration
originator
org
United States Government Agency or Subagency
This document contains proposed regulations implementing the provisions of the statutory exemption set forth in sections 408(b)(14) and 408(g) of the Employee Retirement Income Security Act, as amended (ERISA or the Act), and parallel provisions in the Internal Revenue Code of 1986, as amended (Code), relating to the provision of investment advice described in the Act 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). Section 408(b)(14) provides an exemption from certain prohibited transaction provisions in ERISA with respect to the provision of investment advice, the investment transaction entered into pursuant to the advice, and the direct or indirect receipt of fees or other compensation by the fiduciary adviser or an affiliate in connection with the provision of advice or the transaction pursuant to the advice. Section 408(g) describes the conditions under which the investment advice-related transactions are exempt. Upon adoption, the regulations will 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.
73 FR 49896
https://www.govinfo.gov/app/details/FR-2008-08-22/E8-19272
E8-19272
fr22au08-24
RIN 1210-AB13
4510-29-P
https://www.govinfo.gov/app/details/FR-2008-08-22/E8-19272
https://www.govinfo.gov/content/pkg/FR-2008-08-22/html/E8-19272.htm
https://www.govinfo.gov/content/pkg/FR-2008-08-22/pdf/E8-19272.pdf
Employee Benefit Plans
Exemptions
Fiduciaries
Investments
Pensions
Prohibited Transactions
Reporting and Recordkeeping Requirements
Securities
28 p.
49896
49923
73 FR 49896
Code of Federal Regulations
Title 29 Part 2550
29 CFR Part 2550
Regulation Identification Number 1210-AB13
RIN 1210-AB13
Investment Advice-Participants and Beneficiaries; Federal Register Vol. 73, Issue
PRORULE
E8-19272
V
DEPARTMENT OF LABOR
Employee Benefits Security Administration
2008-10-06
4510-29-P
E8-19272
Proposed rule.
This document contains proposed regulations implementing the provisions of the statutory exemption set forth in sections 408(b)(14) and 408(g) of the Employee Retirement Income Security Act, as amended (ERISA or the Act), and parallel provisions in the Internal Revenue Code of 1986, as amended (Code), relating to the provision of investment advice described in the Act 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). Section 408(b)(14) provides an exemption from certain prohibited transaction provisions in ERISA with respect to the provision of investment advice, the investment transaction entered into pursuant to the advice, and the direct or indirect receipt of fees or other compensation by the fiduciary adviser or an affiliate in connection with the provision of advice or the transaction pursuant to the advice. Section 408(g) describes the conditions under which the investment advice-related transactions are exempt. Upon adoption, the regulations will 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.
Written comments on the proposed regulations should be submitted to the Department of Labor on or before October 6, 2008.
Fred Wong, Office of Regulations and Interpretations, Employee Benefits Security Administration, (202) 693- 8500. This is not a toll-free number.
Employee Benefit Plans
Exemptions
Fiduciaries
Investments
Pensions
Prohibited Transactions
Reporting and Recordkeeping Requirements
Securities
Investment Advice; Participants and Beneficiaries,
e-ORI@dol.gov
http://thefloat.typepad.com/the_float/files/2004_zag_study_on_mutual_fund_trading_costs.pdf
http://www.ceibs.edu/faculty/zxinge/brokerrole-zhao.pdf
http://www.dol.gov/ebsa
http://www.ebri.org/pdf/publications/testimony/t133.pdf
http://www.mrrc.isr.umich.edu/publications/papers/pdf/wp176.pdf
http://www.RegInfo.gov
http://www.regulations.gov
http://www.sec.gov/news/press/2008/2008-1_randiabdreport.pdf
Federal Register
Vol. 73, no. 164
Office of the Federal Register, National Archives and Records Administration
2008-08-22
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354 p.
Table of Contents:
AE 2.7:
GS 4.107:
AE 2.106:
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https://www.govinfo.gov/app/details/FR-2008-08-22
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0042-1219
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https://www.govinfo.gov/app/details/FR-2008-08-22
https://www.govinfo.gov/content/pkg/FR-2008-08-22/pdf/FR-2008-08-22.pdf
https://www.govinfo.gov/content/pkg/FR-2008-08-22/xml/FR-2008-08-22.xml
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2014-05-29
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FR-2008-08-22
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