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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**1983**
AO/ Date/ Reference	Recipient	Description of Request
1983-61A 12/08/1983 406(b)(1) 406(b)(2) 406(b)(3) 408(b)(2)	Identification Number: F-2667A	Whether a Company and other members of its controlled group may from time to time retain an investment manager which is a lower tier subsidiary of the Company to manage assets of certain qualified employee benefit plans which the Company or any member of its controlled group maintains, or in the future may maintain, and that Investment Manager may be paid reasonable compensation, either from the assets of the Company or the assets of the plans, for performing such investment management services without engaging in a prohibited transaction under section 406 of ERISA.
1983-60A 11/21/1983 3(21)(A)(ii)	Mr. J. Hamilton Crawford Securities Industry Association 20 Broad Street New York, New York 10005	Whether a broker-dealer will not be deemed a fiduciary under section 3(21)(A)(ii) of ERISA unless the broker-dealer provides investment advice for distinct, non-transactional compensation.
1983-59A 11/10/1983	Honorable Julio A. Brady Lieutenant Governor U.S. Virgin Islands P.O. Box 450 Charlotte Amalie St. Thomas, Virgin Islands 00801 Neil D. Kimmelfield, Esq. Peabody, Lambert & Meyers 1150 Connecticut Avenue, N.W. Washington, D.C. 20036	Whether an insurance company licensed to sell insurance in the U.S. Virgin Islands will meet the requirement in section II(a)(2) of PTE 79-41 that an insurance company covered by the exemption must be licensed to sell insurance "in at least one of the United States or in the District of Columbia."
1983-58A 11/09/1983	Mr. Joseph Groff Assistant U.S. Attorney U.S. Department of Justice P.O. Box 1588 Portland, Maine 04104	Whether the St. John's Brunswick Federal Credit Union Pension Trust, the Loring Federal Credit Union Pension Trust, the BIW Federal Credit Union Pension Trust, the Oxford Federal Credit Union Pension Trust, and the St. Famille Federal Credit Union Pension Trust are covered under title I of ERISA.
1983-57A 11/09/1983	Mr. Joseph Groff Assistant U.S. Attorney U.S. Department of Justice P.O. Box 1588 Portland, Maine 04104	Whether the Brunswick/Topsham Water District Pension Plan is covered under title I of ERISA.
1983-56A 11/09/1983	Mr. Joseph Groff Assistant U.S. Attorney U.S. Department of Justice P.O. Box 1588 Portland, Maine 04104	Whether the Keyes-Fibre Federal Credit Union Pension Trust is covered under title I of ERISA.
1983-55A 11/03/1983 3(1) 3(3) 3(4) 3(5) 3(7)	Mr. George Kelt Assistant U.S. Attorney U.S. Department of Justice 515 Rusk Avenue Houston, Texas 77002	Whether the Pipe Fitters Local Union No. 211 Welfare Trust Fund is covered under title I of ERISA.
1983-54A 10/21/1983 3(32) 4(b)(1)	Mr. David Butler Holland & Hart Suite 2900 555 Seventeenth Street Denver, Colorado 80201	Whether benefit plans for employees of the Western Interstate Commission for Higher Education are governmental plans within the meaning of section 3(32) of ERISA and, that section 4(b)(1) of ERISA excludes the plans for its employees from coverage under title I of ERISA.
1983-53A 10/14/1983 3(1) 3(4) 3(40) 3(5) 514	Mr. Gerald T. Hart Ausley, McMullen, McGehee, Carothers & Proctor P.O. Box 391 Tallahassee, Florida 32302	Whether the Florida Home Builders Health Benefit Trust which provides self-funded, health, and accident benefits with stop-loss coverage to employees of member firms of the Florida Home Builders Association is an employee welfare benefit plan within the meaning of section 3(1) of title I of ERISA.
1983-52A 10/05/1983 406(b)(1) 406(b)(2) 408(b)(2)	Thomas F. Finch, Esquire McDermott, Will & Emery 111 West Monroe Street Chicago, Illinois 60603	Whether the provision of investment management services by Kemper Financial Services to the Master Trust comprised of the assets of plans maintained by Lumbermens Mutual Casualty Company and certain of its affiliated corporations, which includes 54 percent of the outstanding stock of Kemper Corporation, does not constitute a prohibited transaction under section 406 of ERISA.