Browse Arkansas Code titles and sections
29 U.S.C. § 1134 — Investigative authority
Federal law — U.S. Code and appendices · legal_authorities
Page 541
TITLE 29—LABOR
§ 1134
Amendment by section 7881(b)(5)(B), (j)(2), (3) of Pub.
L. 101–239 effective, except as otherwise provided, as if
included in the provision of the Pension Protection
Act, Pub. L. 100–203, §§ 9302–9346, to which such amend-
ment relates, see section 7882 of Pub. L. 101–239, set out
as a note under section 401 of Title 26, Internal Revenue
Code.
Amendment by section 7891(a)(1) of Pub. L. 101–239 ef-
fective, except as otherwise provided, as if included in
the provision of the Tax Reform Act of 1986, Pub. L.
99–514, to which such amendment relates, see section
7891(f) of Pub. L. 101–239, set out as a note under section
1002 of this title.
Amendment by section 7894(f)(1) of Pub. L. 101–239 ef-
fective, except as otherwise provided, as if originally
included in the provision of the Employee Retirement
Income Security Act of 1974, Pub. L. 93–406, to which
such amendment relates, see section 7894(i) of Pub. L.
101–239, set out as a note under section 1002 of this title.
EFFECTIVE DATE OF 1987 AMENDMENT
Pub. L. 100–203, title IX, § 9342(d), Dec. 22, 1987, 101
Stat. 1330–372, provided that:
‘‘(1) IN GENERAL.—The amendments made by this sec-
tion [amending this section and sections 1023, 1024, and
1113 of this title] shall apply with respect to reports re-
quired to be filed after December 31, 1987.
‘‘(2) REGULATIONS.—The Secretary of Labor shall
issue the regulations required to carry out the amend-
ments made by subsection (c) [amending this section]
not later than January 1, 1989.’’
EFFECTIVE DATE OF 1986 AMENDMENT
Amendment by Pub. L. 99–272 applicable to plan years
beginning on or after July 1, 1986, with special rule for
collective bargaining agreements, see section 10002(d)
of Pub. L. 99–272, set out as an Effective
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Page 541
TITLE 29—LABOR
§ 1134
Amendment by section 7881(b)(5)(B), (j)(2), (3) of Pub.
L. 101–239 effective, except as otherwise provided, as if
included in the provision of the Pension Protection
Act, Pub. L. 100–203, §§ 9302–9346, to which such amend-
ment relates, see section 7882 of Pub. L. 101–239, set out
as a note under section 401 of Title 26, Internal Revenue
Code.
Amendment by section 7891(a)(1) of Pub. L. 101–239 ef-
fective, except as otherwise provided, as if included in
the provision of the Tax Reform Act of 1986, Pub. L.
99–514, to which such amendment relates, see section
7891(f) of Pub. L. 101–239, set out as a note under section
1002 of this title.
Amendment by section 7894(f)(1) of Pub. L. 101–239 ef-
fective, except as otherwise provided, as if originally
included in the provision of the Employee Retirement
Income Security Act of 1974, Pub. L. 93–406, to which
such amendment relates, see section 7894(i) of Pub. L.
101–239, set out as a note under section 1002 of this title.
EFFECTIVE DATE OF 1987 AMENDMENT
Pub. L. 100–203, title IX, § 9342(d), Dec. 22, 1987, 101
Stat. 1330–372, provided that:
‘‘(1) IN GENERAL.—The amendments made by this sec-
tion [amending this section and sections 1023, 1024, and
1113 of this title] shall apply with respect to reports re-
quired to be filed after December 31, 1987.
‘‘(2) REGULATIONS.—The Secretary of Labor shall
issue the regulations required to carry out the amend-
ments made by subsection (c) [amending this section]
not later than January 1, 1989.’’
EFFECTIVE DATE OF 1986 AMENDMENT
Amendment by Pub. L. 99–272 applicable to plan years
beginning on or after July 1, 1986, with special rule for
collective bargaining agreements, see section 10002(d)
of Pub. L. 99–272, set out as an Effective Date note
under section 1161 of this title.
EFFECTIVE DATE OF 1980 AMENDMENT
Amendment by Pub. L. 96–364 effective Sept. 26, 1980,
except as specifically provided, see section 1461(e) of
this title.
REGULATIONS
Pub. L. 110–233, title I, § 101(f)(1), May 21, 2008, 122
Stat. 888, provided that: ‘‘The Secretary of Labor shall
issue final regulations not later than 12 months after
the date of enactment of this Act [May 21, 2008] to
carry out the amendments made by this section
[amending this section and sections 1182 and 1191b of
this title].’’
Secretary authorized, effective Sept. 2, 1974, to pro-
mulgate regulations wherever provisions of this sub-
chapter call for the promulgation of regulations, see
section 1031 of this title.
APPLICABILITY OF AMENDMENTS BY SUBTITLES A AND B
OF TITLE I OF PUB. L. 109–280
For special rules on applicability of amendments by
subtitles A (§§ 101–108) and B (§§ 111–116) of title I of Pub.
L. 109–280 to certain eligible cooperative plans, PBGC
settlement plans, and eligible government contractor
plans, see sections 104, 105, and 106 of Pub. L. 109–280,
set out as notes under section 401 of Title 26, Internal
Revenue Code.
SPECIAL RULE
FOR CERTAIN BENEFITS FUNDED UNDER
AN AGREEMENT APPROVED
BY
THE PENSION BENEFIT
GUARANTY CORPORATION
For applicability of amendment by section 202(b), (c)
of Pub. L. 109–280 to a multiemployer plan that is a
party to an agreement that was approved by the Pen-
sion Benefit Guaranty Corporation prior to June 30,
2005, and that increases benefits and provides for cer-
tain withdrawal liability rules, see section 206 of Pub.
L. 109–280, set out as a note under section 412 of Title
26, Internal Revenue Code.
EFFECT OF PUB. L. 103–401 ON OTHER PROVISIONS
Pub. L. 103–401, § 4, Oct. 22, 1994, 108 Stat. 4172, pro-
vided that: ‘‘Nothing in this Act [amending this section
and enacting provisions set out as notes under this sec-
tion and section 1001 of this title] shall be construed to
limit the legal standing of individuals to bring a civil
action as participants or beneficiaries under section
502(a) of the Employee Retirement Income Security
Act of 1974 (29 U.S.C. 1132(a)), and nothing in this Act
shall affect the responsibilities, obligations, or duties
imposed upon fiduciaries by title I of the Employee Re-
tirement Income Security Act of 1974 [this sub-
chapter].’’
PLAN AMENDMENTS NOT REQUIRED UNTIL JULY 30, 2002
For provisions directing that if any amendment made
by section 306(b) of Pub. L. 107–204 requires an amend-
ment to any plan, such plan amendment shall not be
required to be made before the first plan year begin-
ning on or after July 30, 2002, see section 7244(b)(3) of
Title 15, Commerce and Trade.
PLAN AMENDMENTS NOT REQUIRED UNTIL
JANUARY 1, 1994
For provisions setting forth circumstances under
which any amendment to a plan required to be made by
an amendment made by section 4301 of Pub. L. 103–66
shall not be required to be made before the first plan
year beginning on or after Jan. 1, 1994, see section
4301(d) of Pub. L. 103–66, set out as an Effective Date of
1993 Amendment note under section 1021 of this title.
§ 1133. Claims procedure
In accordance with regulations of the Sec-
retary, every employee benefit plan shall—
(1) provide adequate notice in writing to any
participant or beneficiary whose claim for
benefits under the plan has been denied, set-
ting forth the specific reasons for such denial,
written in a manner calculated to be under-
stood by the participant, and
(2) afford a reasonable opportunity to any
participant whose claim for benefits has been
denied for a full and fair review by the appro-
priate named fiduciary of the decision denying
the claim.
(Pub. L. 93–406, title I, § 503, Sept. 2, 1974, 88 Stat.
893.)
Statutory Notes and Related Subsidiaries
REGULATIONS
Secretary authorized, effective Sept. 2, 1974, to pro-
mulgate regulations wherever provisions of this sub-
chapter call for the promulgation of regulations, see
section 1031 of this title.
§ 1134. Investigative authority
(a) Investigation and submission of reports,
books, etc.
The Secretary shall have the power, in order
to determine whether any person has violated or
is about to violate any provision of this sub-
chapter or any regulation or order thereunder—
(1) to make an investigation, and in connec-
tion therewith to require the submission of re-
ports, books, and records, and the filing of
data in support of any information required to
be filed with the Secretary under this sub-
chapter, and
(2) to enter such places, inspect such books
and records and question such persons as he
may deem necessary to enable him to deter-
Page 542
TITLE 29—LABOR
§ 1135
mine the facts relative to such investigation,
if he has reasonable cause to believe there
may exist a violation of this subchapter or any
rule or regulation issued thereunder or if the
entry is pursuant to an agreement with the
plan.
The Secretary may make available to any per-
son actually affected by any matter which is the
subject of an investigation under this section,
and to any department or agency of the United
States, information concerning any matter
which may be the subject of such investigation;
except that any information obtained by the
Secretary pursuant to section 6103(g) of title 26
shall be made available only in accordance with
regulations prescribed by the Secretary of the
Treasury.
(b) Frequency of submission of books and
records
The Secretary may not under the authority of
this section require any plan to submit to the
Secretary any books or records of the plan more
than once in any 12 month period, unless the
Secretary has reasonable cause to believe there
may exist a violation of this subchapter or any
regulation or order thereunder.
(c) Other provisions applicable relating to at-
tendance of witnesses and production of
books, records, etc.
For the purposes of any investigation provided
for in this subchapter, the provisions of sections
49 and 50 of title 15 (relating to the attendance
of witnesses and the production of books,
records, and documents) are hereby made appli-
cable (without regard to any limitation in such
sections respecting persons, partnerships, banks,
or common carriers) to the jurisdiction, powers,
and duties of the Secretary or any officers des-
ignated by him. To the extent he considers ap-
propriate, the Secretary may delegate his inves-
tigative functions under this section with re-
spect to insured banks acting as fiduciaries of
employee benefit plans to the appropriate Fed-
eral banking agency (as defined in section
1813(q) of title 12).
(d) Evidentiary privilege; confidentiality of com-
munications
The Secretary may promulgate a regulation
that provides an evidentiary privilege for, and
provides for the confidentiality of communica-
tions between or among, any of the following en-
tities or their agents, consultants, or employees:
(1) A State insurance department.
(2) A State attorney general.
(3) The National Association of Insurance
Commissioners.
(4) The Department of Labor.
(5) The Department of the Treasury.
(6) The Department of Justice.
(7) The Department of Health and Human
Services.
(8) Any other Federal or State authority
that the Secretary determines is appropriate
for the purposes of enforcing the provisions of
this subchapter.
(e) Application of privilege
The privilege established under subsection (d)
shall apply to communications related to any
investigation, audit, examination, or inquiry
conducted or coordinated by any of the agencies.
A communication that is privileged under sub-
section (d) shall not waive any privilege other-
wise available to the communicating agency or
to any person who provided the information that
is communicated.
(Pub. L. 93–406, title I, § 504, Sept. 2, 1974, 88 Stat.
893; Pub. L. 101–239, title VII, § 7891(a)(1), Dec. 19,
1989, 103 Stat. 2445; Pub. L. 111–148, title VI,
§ 6607, Mar. 23, 2010, 124 Stat. 781.)
Editorial Notes
AMENDMENTS
2010—Subsecs. (d), (e). Pub. L. 111–148 added subsecs.
(d) and (e).
1989—Subsec. (a). Pub. L. 101–239 substituted ‘‘Inter-
nal Revenue Code of 1986’’ for ‘‘Internal Revenue Code
of 1954’’, which for purposes of codification was trans-
lated as ‘‘title 26’’ thus requiring no change in text.
Statutory Notes and Related Subsidiaries
EFFECTIVE DATE OF 1989 AMENDMENT
Amendment by Pub. L. 101–239 effective, except as
otherwise provided, as if included in the provision of
the Tax Reform Act of 1986, Pub. L. 99–514, to which
such amendment relates, see section 7891(f) of Pub. L.
101–239, set out as a note under section 1002 of this title.
REGULATIONS
Secretary authorized, effective Sept. 2, 1974, to pro-
mulgate regulations wherever provisions of this sub-
chapter call for the promulgation of regulations, see
section 1031 of this title.
§ 1135. Regulations
Subject to subchapter II and section 1029 of
this title, the Secretary may prescribe such reg-
ulations as he finds necessary or appropriate to
carry out the provisions of this subchapter.
Among other things, such regulations may de-
fine accounting, technical and trade terms used
in such provisions; may prescribe forms; and
may provide for the keeping of books and
records, and for the inspection of such books and
records (subject to section 1134(a) and (b) of this
title).
(Pub. L. 93–406, title I, § 505, Sept. 2, 1974, 88 Stat.
894.)
Statutory Notes and Related Subsidiaries
REGULATIONS
Pub. L. 99–272, title XI, § 11018, Apr. 7, 1986, 100 Stat.
277, provided that:
‘‘(a) REGULATORY TREATMENT OF ASSETS OF REAL ES-
TATE ENTITIES.—
‘‘(1) IN GENERAL.—Except as a defense, no rule or
regulation adopted pursuant to the Secretary’s pro-
posed regulation defining ‘plan assets’ for purposes of
the Employee Retirement Income Security Act of
1974 [29 U.S.C. 1001 et seq.] (50 Fed. Reg. 961, January
8, 1985, as modified by 50 Fed. Reg. 6361, February 15,
1985), or any reproposal thereof prior to the adoption
of the regulations required to be issued in accordance
with subsection (d), shall apply to any asset of a real
estate entity in which a plan, account, or arrange-
ment subject to such Act invests if—
‘‘(A) any interest in the entity is first offered to
a plan, account, or arrangement subject to such Act
investing in the entity (hereinafter in this section
Cross-references
Connections may be documented source relationships, shared citations or nearby passages. Each explains its basis; a connection alone does not establish applicability to your situation.
Federal law — U.S. Code and appendices · legal_authorities
**(a) Benefit plans as affecting interstate commerce and the Federal taxing power** The Congress finds that the growth in size, scope, and numbers of employee benefit plans in recent years has been rapid and substantial; that the operational scope and economic impact of such plans is increasingly interstate; that the continued well-being and security of millions of employees and their dependents are directly affected by these plans; that they are affected with a national public interest; that they have become an important factor affecting the stability of employment and the successful development of industrial relations; that they have become an important factor in commerce because of the interstate character of their activities, and of the activities of their participants, and the employers, employee organizations, and other entities by which they are established or maintained; that a large volume of the activities of such plans are carried on by means of the mails and instrumentalities of interstate commerce; that owing to the lack of employee information and adequate safeguards concerning their operation, it is desirable in the interests of employees and their beneficiaries, and to provide for the general welfare and the free flow of commerce, that disclosure be made and safeguards be provided with respect to the establishment, operation, and administration of such plans; that they substantially affect the revenues of the United States because they are afforded preferential Federal tax treatment; that despite the enormous growth in such plans many employees with long years of employment are losing anticipated retirement benefits owing to the lack of vesting provisions in such plans; that owing to the inadequacy of current minimum standards, the soundness and stabilit
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Federal law — U.S. Code and appendices · legal_authorities
Page 353
TITLE 29—LABOR
§ 1001
Sec.
1365.
Annual report of plan administrator.
1366.
Annual notification to substantial employers.
1367.
Recovery of liability for plan termination.
1368.
Lien for liability.
1369.
Treatment of transactions to evade liability;
effect of corporate reorganization.
1370.
Enforcement authority relating to termi-
nations of single-employer plans.
1371.
Penalty for failure to timely provide required
information.
SUBTITLE E—SPECIAL PROVISIONS FOR MULTIEMPLOYER
PLANS
PART 1—EMPLOYER WITHDRAWALS
1381.
Withdrawal liability established; criteria and
definitions.
1382.
Determination and collection of liability; no-
tification of employer.
1383.
Complete withdrawal.
1384.
Sale of assets.
1385.
Partial withdrawals.
1386.
Adjustment for partial withdrawal; deter-
mination of amount; reduction for partial
withdrawal liability; procedures applicable.
1387.
Reduction or waiver of complete withdrawal
liability; procedures and standards applica-
ble.
1388.
Reduction of partial withdrawal liability.
1389.
De minimis rule.
1390.
Nonapplicability of withdrawal liability for
certain temporary contribution obligation
periods; exception.
1391.
Methods for computing withdrawal liability.
1392.
Obligation to contribute.
1393.
Actuarial assumptions.
1394.
Application of plan amendments; exception.
1395.
Plan notification to corporation of poten-
tially significant withdrawals.
1396.
Special rules for plans under section 404(c) of
title 26.
1397.
Application of part in case of certain pre-1980
withdrawals; adjustment of covered plan.
1398.
Withdrawal not to occur because of change in
business form or suspension of contribu-
tions during labor dispute.
1399.
Notice, collection, etc., of withdrawal liabil-
Source: Supplied 2024 U.S. Code historical extraction · 29 U.S.C. § 1001
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Federal law — U.S. Code and appendices · legal_authorities
**(a) Persons empowered to bring a civil action** A civil action may be brought—
(1) by a participant or beneficiary—
(A) for the relief provided for in subsection (c) of this section, or
(B) to recover benefits due to him under the terms of his plan, to enforce his rights under the terms of the plan, or to clarify his rights to future benefits under the terms of the plan;
(2) by the Secretary, or by a participant, beneficiary or fiduciary for appropriate relief under [section 1109 of this title](https://uscode.house.gov/view.xhtml?req=granuleid:USC-prelim-title29-section1109&num=0&edition=prelim);
(3) by a participant, beneficiary, or fiduciary (A) to enjoin any act or practice which violates any provision of this subchapter or the terms of the plan, or (B) to obtain other appropriate equitable relief (i) to redress such violations or (ii) to enforce any provisions of this subchapter or the terms of the plan;
(4) by the Secretary, or by a participant, or beneficiary for appropriate relief in the case of a violation of section 1025(c) or 1032(a) of this title;
(5) except as otherwise provided in subsection (b), by the Secretary (A) to enjoin any act or practice which violates any provision of this subchapter, or (B) to obtain other appropriate equitable relief (i) to redress such violation or (ii) to enforce any provision of this subchapter;
(6) by the Secretary to collect any civil penalty under paragraph (2), (4), (5), (6), (7), (8), or (9) of subsection (c) or under subsection (i) or (l);
(7) by a State to enforce compliance with a qualified medical child support order (as defined in [section 1169(a)(2)(A) of this title](https://uscode.house.gov/view.xhtml?req=granuleid:USC-prelim-title29-section1169/a/2/A&num=0&edition=prelim));
(8) by the Secretary, o
Source: Supplied U.S. Code snapshot — release unconfirmed · 29 U.S.C. § 1132
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Federal law — U.S. Code and appendices · legal_authorities
Page 534
TITLE 29—LABOR
§ 1131
would be and if such provision of services
was not, at the time of such provision, a pro-
hibited transaction (within the meaning of
section 503(b) of title 26) or the cor-
responding provisions of prior law; or
(5) the sale, exchange, or other disposition of
property which is owned by a plan on June 30,
1974, and all times thereafter, to a party in in-
terest, if such plan is required to dispose of
such property in order to comply with the pro-
visions of section 1107(a) of this title (relating
to the prohibition against holding excess em-
ployer securities and employer real property),
and if the plan receives not less than adequate
consideration.
(d) Any election, or failure to elect, by a dis-
qualified person under section 2003(c)(1)(B) of
this Act shall be treated for purposes of this
part (but not for purposes of section 1144 of this
title) as an act or omission occurring before the
effective date of this part.
(e) The preceding provisions of this section
shall not apply with respect to amendments
made to this part in provisions enacted after
September 2, 1974.
(Pub. L. 93–406, title I, § 414, Sept. 2, 1974, 88 Stat.
889; Pub. L. 101–239, title VII, § 7894(e)(6), (h)(4),
Dec. 19, 1989, 103 Stat. 2450, 2451.)
Editorial Notes
REFERENCES IN TEXT
Section 2003(c)(1)(B) of this Act, referred to in subsec.
(d), is section 2003(c)(1)(B) of Pub. L. 93–406, which is set
out as an Effective Date; Savings Provisions note under
section 4975 of Title 26, Internal Revenue Code.
AMENDMENTS
1989—Subsec. (c)(2). Pub. L. 101–239, § 7894(e)(6), sub-
stituted ‘‘Internal Revenue Code of 1986’’ for ‘‘Internal
Revenue Code of 1954’’, which for purposes of codifica-
tion was translated as ‘‘title 26’’ thus requiring no
change in t
Source: Supplied 2024 U.S. Code historical extraction · 29 U.S.C. § 1132
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Federal law — U.S. Code and appendices · legal_authorities
**(a) Investigation and submission of reports, books, etc.** The Secretary shall have the power, in order to determine whether any person has violated or is about to violate any provision of this subchapter or any regulation or order thereunder—
(1) to make an investigation, and in connection therewith to require the submission of reports, books, and records, and the filing of data in support of any information required to be filed with the Secretary under this subchapter, and
(2) to enter such places, inspect such books and records and question such persons as he may deem necessary to enable him to determine the facts relative to such investigation, if he has reasonable cause to believe there may exist a violation of this subchapter or any rule or regulation issued thereunder or if the entry is pursuant to an agreement with the plan.
The Secretary may make available to any person actually affected by any matter which is the subject of an investigation under this section, and to any department or agency of the United States, information concerning any matter which may be the subject of such investigation; except that any information obtained by the Secretary pursuant to [section 6103(g) of title 26](https://uscode.house.gov/view.xhtml?req=granuleid:USC-prelim-title26-section6103/g&num=0&edition=prelim) shall be made available only in accordance with regulations prescribed by the Secretary of the Treasury.
**(b) Frequency of submission of books and records** The Secretary may not under the authority of this section require any plan to submit to the Secretary any books or records of the plan more than once in any 12 month period, unless the Secretary has reasonable cause to believe there may exist a violation of this subchapter or any regulation or order thereunder.
*
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