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Disclosures

Disclosure Commentaries
Date Subject Title
03/19/10 Blackout Notice Blackout Notice Rules
12/04/09 404(c) Summary Prospectus
11/20/09 QDIA Notice QDIA Notice Rules
10/09/09 IRS Guidance 402(f) Model Notice
04/24/09 Loans Loan Disclosure Requirements
02/27/09 DB Notice Annual Notice Requirements
03/11/09 Fee Disclosure
02/05/09 Civil Penalty DOL Civil Penalty, Disclosure Failure
06/12/08 DOL Issues DOL Issues
11/16/07 Guidance Recap Statement Guidance Recap
10/26/07 Statements Benefit Statement Guidance, FAB 2007-3
01/19/07 IRS Guidance IRS Distribution Guidance 2007-7

05/11/06

Disclosure Finalized

Relative Values Disclosure Finalized

12/29/06 Statement Guidance DOL Benefit Statement Guidance FAB 2006-3
12/15/06 Divestiture ER Stock IRS Divestiture Guidance N. 2006-107
10/06/06 Divestiture ER Stock PPA - Employer Stock Divestiture
09/14/06 Disclosures and Notices PPA - Disclosures & Notices
05/25/06 No Stmt 0% Vested Terminated - No Stmt PrePPA

07/09/04

Disclosure Delayed

Optional Forms of Payment Disclosure

07/08/05 Disclosure Circular 230 - New Disclosure Language
09/25/03 Profiles & 404(c) DOL Advisory Mutual Fund Profiles Satisfy 404(c)

04/09/03

Final Regs.

204(h) Final Regulations

 

Disclosures FAQs
Date Subject
08/07/09 Safe Harbor Notice — Failure to Provide
06/12/08 What is a blackout period?

07/13/07

Statement, Vesting On Each Quarter?

06/05/03

Blackout Question, Limited Investment Change Window

 

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