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 |
---|---|---|
03/20/1981
514 |
Mr. Lester Kurtz |
Whether a state law that requires an employer to indefinitely extend group health insurance coverage to former employees who have accepted new employment would be preempted by ERISA. |
03/16/1981
404(a)(1) 404(a)(1)(D) 406(b)(2) |
Fred S. Hunt, III, Esq. |
Whether certain payments of contributions by employers to the Ironworkers Local No. 28 Health and Welfare Plan and the Ironworkers Pension Fund of Local 28, Richmond, Virginia (the Plans) violate ERISA. |
03/13/1981
|
Mr. Alan F. Mecham |
Whether Capitol Thrift and Loan (Capitol) may invest the funds of individual retirement accounts [as defined in section 408 of the Internal Revenue Code (the Code)] for which it serves as trustee and custodian in thrift certificates issued by Capitol. |
03/12/1981
403(b) plan |
Mr. John E. Curtis, Jr. |
Whether, when established, a proposed arrangement by South Bend Lathe, Inc. (the Company), will be excluded from coverage under parts 2 and 3 of title I of ERISA, and not subject to the requirements of section 403(a) of ERISA. |
03/09/1981
3(2) |
Mr. Gary B. Lawson |
Whether the Plan is an employee pension benefit plan within the meaning of ERISA section 3(2). |
03/03/1981
3(2) |
Mr. Mark A. Vogel |
Your sole request is for an opinion that in the event a participant in the SEP chooses to rollover funds from the IRA established under the SEP to another IRA maintained by a Broker-Dealer affiliate, that second IRA is not an "employee pension benefit plan" within the meaning of section 3(2) of ERISA. |
02/27/1981
3(4) |
Mr. Richard L. Stiles |
Whether the Plan is not covered by title I of ERISA as it is considered a small welfare as defined in the limited exemption for certain small welfare plans provided in 29 C.F.R. §2520.104-20. |
02/26/1981
3(1) 3(2) |
Mr. David T. Mitzner |
Whether the Deferred Compensation Plan of Petro-Lewis Corporation is not covered by title I of ERISA. |
02/25/1981
414 |
Matthew T. Kissane, Esquire |
Whether the receipt of deferred compensation after June 30, 1977, for services rendered to the Trust prior to that date are prohibited transaction under ERISA, |
02/18/1981
3(2) |
Mr. Mark S. Dray |
Whether certain payments by United Virginia Bankshares Incorporated (the Company) would constitute an employee pension benefit plan within the meaning of section 3(2) of ERISA. |