Advisory Opinions
Requests for interpretations and other rulings under Title 1 of ERISA are handled by the Office of Regulations and Interpretations under the provisions established by ERISA Procedure 76-1. The office answers inquiries from individuals and organizations in the form of advisory opinions, which apply the law to a specific set of facts, or information letters, which merely call attention to well established principles or interpretations.
AO/ Date/ Reference | Recipient | Description of Request |
---|---|---|
01/05/1982
404(a)(1)(D) |
Harry Huge, Esq. |
Whether the trustees’ interpretation of the SASMI Plan’s documents should stand. |
AO/ Date/ Reference | Recipient | Description of Request |
---|---|---|
03/25/1981
406(b) 408(b)(2) |
Mr. Howard J. Moore |
Whether the receipt of brokerage commissions by VanCaspel & Co., Incorporated (VanCaspel), the Plan sponsor, resulting from mutual fund investments made by the Plan would violate section 406 of ERISA. |
12/24/1981
3(2) 3(33) 407(d)(3) |
George J. Pantos, Esquire |
Whether a Plan would be a "savings plan" and, as such, would be an "eligible individual account plan" under section 407(d)(3) of the Employee Retirement Income Security Act of 1974 (ERISA). |
07/09/1981
3(3) |
David Margolis |
Whether the plan is not covered by ERISA because it is a "plan without employees" |
12/22/1981
3(1) |
Mr. D.H. Biaett |
Whether the Corporation's program of salary continuation constitutes a mere payroll practice within the meaning of 29 C.F.R. S2510.31(b)(2) rather than an employee welfare benefit plan described in ERISA section 3(1) and, thus, is excluded from ERISA title I coverage. |
11/13/1981
3(1) 3(4) 3(5) 3(7) 4(b) |
Martha P. Rogers |
Opinion concerning the coverage of six employee benefit plans under both Title I of the Employee Retirement Income Security Act of 1974 (ERISA) and the predecessor law, the Welfare and Pension Plans Disclosure Act, as Amended (WPPDA). |
12/14/1981
3(32) 4(b)(1) |
Mr. David K. Replogle |
Whether two programs of the Association of California Hospital Districts (ACHD) are covered by ERISA title I and whether ACHD is a fiduciary under the provisions of title I of ERISA. |
12/09/1981
3(1) 3(5) |
Mr. Vic Turvey |
Whether the program of health and life insurance benefits offered by the Illinois Health Care Association (IHCA Health Program) is an employee benefit plan subject to the coverage of ERISA. |
11/30/1981
3(14) 408(b)(2) 408(c )(2) |
Lawrence J. Hass |
Whether certain payments by the __________ Pension Trust Fund (the Fund) to Mr. __________, former Executive Director of the Fund are prohibited transaction provisions of the Employee Retirement Income Security Act of 1974 (ERISA). |
11/23/1981
3(32) |
Mr. Richard A. Hemmings |
Whether a retirement plan and trust for employees of the National Association of Insurance Commissioners (NAIC) is a governmental plan within the meaning of ERISA. |