29 Usc 1134

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29 U.S. Code § 1134 - Investigative authority | U.S. Code | US Law | LII / Legal Information Institute

29 U.S. Code § 1134. Investigative authority
U.S. Code

Notes

(a) I
,
,
. 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 shall be made available only in
accordance with regulations prescribed by the Secretary of the
Treasury.
(b) F
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
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29 U.S. Code § 1134 - Investigative authority | U.S. Code | US Law | LII / Legal Information Institute

believe there may exist a violation of this subchapter or any regulation or
order thereunder.
(c) O
,
,
.
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 applicable (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 designated
by him. To the extent he considers appropriate, the Secretary may
delegate his investigative functions under this section with respect to
insured banks acting as fiduciaries of employee benefit plans to the
appropriate Federal banking agency (as defined in section 1813(q) of title
12).
(d) E
;
The Secretary may promulgate a regulation that provides an evidentiary
privilege for, and provides for the confidentiality of communications
between or among, any of the following entities 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) A
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
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privileged under subsection (d) shall not waive any privilege otherwise
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.)

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