Investment Advice to Participants and Beneficiaries

OMB 1210-0134

This final regulation implements the provisions of the statutory exemption set forth in sections 408(b)(14) and 408(g) of the Employee Retirement Income Security Act, as amended (ERISA or the Act), and parallel provisions in sections 4975(d)(17) and 4975(f)(8) of the Internal Revenue Code of 1986, as amended (Code), relating to the provision of investment advice described in section 3(21)(A)(ii) of the Act by a fiduciary adviser to participants and beneficiaries in participant-directed individual account plans, such as 401(k) plans, and beneficiaries of individual retirement accounts (and certain similar plans).

The latest form for Investment Advice to Participants and Beneficiaries expires 2021-02-28 and can be found here.

Latest Forms, Documents, and Supporting Material

Document Name
1210-0134 Investment Advice 1-19-24_clean.docx Supporting Statement A
30-day FRN (1210-0134) published.pdf Supplementary Document
29 U.S. Code § 1108 - Exemptions from prohibited transactions.pdf Supplementary Document
29 CFR § 2550.408g-1 - Investment advice - participants and beneficiaries. _ CFR _ US Law _ LII _ Legal Information Institute.pdf Supplementary Document
60-day FRN (1210-0134) published.pdf Supplementary Document
Audit Requirement
Computer Model Certification Requirements
Investment Advice to Participants and Beneficiaries Disclosures

All Historical Document Collections

202401-1210-004	Extension without change of a currently approved collection	2024-03-18
202012-1210-006 Approved without change	Extension without change of a currently approved collection	2021-02-04
201711-1210-001 Approved without change	Extension without change of a currently approved collection	2017-12-31
201409-1210-001 Approved with change	Extension without change of a currently approved collection	2014-10-29
201110-1210-002 Approved without change	Revision of a currently approved collection	2011-10-25
201105-1210-003 Preapproved	New collection (Request for a new OMB Control Number)	2011-08-23
200908-1210-004 Comment filed on proposed rule	New collection (Request for a new OMB Control Number)	2009-10-23
200811-1210-001 Preapproved	New collection (Request for a new OMB Control Number)	2008-11-05
200807-1210-004 Comment filed on proposed rule	New collection (Request for a new OMB Control Number)	2008-08-22

OMB Details

Investment Advice to Participants and Beneficiaries Disclosures

Federal Enterprise Architecture: Income Security - General Retirement and Disability