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.

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**1982**
AO/ Date/ Reference	Recipient	Description of Request
1982-01A 01/05/1982 404(a)(1)(D)	Harry Huge, Esq. Rogovin, Huge & Lenzner 1730 Rhode Island Avenue, N.W. Washington, D.C. 20036	Whether the trustees’ interpretation of the SASMI Plan’s documents should stand.

**1981**
AO/ Date/ Reference	Recipient	Description of Request
1981-90A 03/25/1981 406(b) 408(b)(2)	Mr. Howard J. Moore Fulbright & Jaworski 800 Bank of the Southwest Building Houston, TX 77002	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.
1981-89A 12/24/1981 3(2) 3(33) 407(d)(3)	George J. Pantos, Esquire Vedder, Price, Kaufman, Kammholz & Day 1919 Pennsylvania Avenue, N.W. Washington, D.C. 20006	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).
1981-88A 07/09/1981 3(3)	David Margolis Chief, Organized Crime and Racketeering Section Criminal Division Department of Justice Washington, D.C. 20530	Whether the plan is not covered by ERISA because it is a "plan without employees" described in 29 CFR §2510.3-3(c).
1981-87A 12/22/1981 3(1)	Mr. D.H. Biaett Vice President and Counsel Crum & Forster Corporation 305 Madison Avenue Morristown, New Jersey 07960	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.
1981-86A 11/13/1981 3(1) 3(4) 3(5) 3(7) 4(b)	Martha P. Rogers Special Assistant U.S. Attorney U.S. Department of Justice Criminal Division 77 South East 5th Street Suite 401 Miami, Florida 33131	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).
1981-85A 12/14/1981 3(32) 4(b)(1)	Mr. David K. Replogle Sheeks, Oswald & Bassing 1010 B Street San Rafael, California 94901	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.
1981-84A 12/09/1981 3(1) 3(5)	Mr. Vic Turvey Financial Analyst State of Illinois Department of Insurance Springfield, Illinois 62767	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.
1981-83A 11/30/1981 3(14) 408(b)(2) 408(c )(2)	Lawrence J. Hass Attorney for the __________ Pension Trust Fund Groom and Nordberg Suite 450 1775 Pennsylvania Avenue N.W. Washington, D.C. 20006	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).
1981-82A 11/23/1981 3(32)	Mr. Richard A. Hemmings National Association of Insurance Commissioners Suite 1015 633 W. Wisconsin Avenue Milwaukee, Wisconsin 53203	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.