advisory opinion 97-15a

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9 documents for advisory opinion 97-15a

- Reasonable Contract or Arrangement Under Section 408(b)(2)-Fee Disclosure
...5, 2002), Advisory Opinion 97-15A (May 22, 1997), Advisory Opinion 97...
- Federal Register Nbr. 77 FR 5632, February 03, 2012
- Rules and Regulations
- Labor Department
- Reasonable Contract or Arrangement Under Section 408(b)(2):
... Bulletin 2002-3 (November 5, 2002), Advisory Opinions 97-16A (May 22, 1997) and 97-15A (May 22,...
- FR, July 16, 2010
- Rules
- Employee Benefits Security Administration
- Current developments in employee benefits.
Part 2 The IRS issued guidance in several forms in 1997 on issues relating to qualified retirement plans. Issues for which guidance was provided include Savings Incentive Match Plans for Employees, nondiscrimination testing, corrective amendments, distribution errors, and the same desk rule. Additionally, federal courts considered several issues in 1997 including vesting of survivor benefits, serious consideration of benefit changes, and IRS retroactive amendment procedures.

... is required; the IRS will not issue new opinion, notification, advisory or determination letters f...
- The Tax Adviser
- Vol. 28 Nbr. 12, December 1997

- Employee benefit plans; prohibited transaction exemptions: Salomon Smith Barney, Inc.,
... of the TRAK Personalized Investment Advisory Service product (the TRAK Program) and the Trust f... in the Frost National Bank Advisory Opinion (ERISA Advisory Opinion 97-15A, May 22, 1997) (the...
- FR, November 09, 1998
- Notices
- Pension and Welfare Benefits Administration
- Part III
... that result in the payment of additional advisory and other fees to the fiduciaries or their affilia...Advisory Opinion (AO) 2005-10A (May 11, 2005); AO 2001-09A (Decembe...
- FR, January 21, 2009
- Separate parts
- Labor Department, Employee Benefits Security Administration
- SmartRetirement: The OLDE 401 (k) Plan,
...\4\ In ERISA Advisory Opinion 97-15A (May 22, 1997), involving the Frost...
- FR, February 26, 1998
- Notices
- Pension and Welfare Benefits Administration
- Part III
...\ The Banking Agencies expressed a similar opinion.\177\ In their view, a duty of loyalty may arise a... the bank effects in an investment advisory capacity are effected subject to the bank's fiduci...
- FR, June 30, 2004
- Separate parts
- Securities and Exchange Commission
- Securities: Trust and fiduciary activities exception; exemptions and defined terms (Regulation B),
...\ The Banking Agencies expressed a similar opinion.\177\ In their view, a duty of loyalty may arise a... the bank effects in an investment advisory capacity are effected subject to the bank's fiduci...
- FR, June 30, 2004
- Proposed rules
- Securities and Exchange Commission
- Part V
... that result in the payment of additional advisory and other fees to the fiduciaries or their affilia...-1 (Interpretive Bulletin 96-1); Advisory Opinion (AO) 2005-10A (May 11, 2005); AO 2001-09A. (Decemb...
- FR, August 22, 2008
- Separate parts
- Labor Department, Employee Benefits Security Administration