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November 5, 2008    DOL > EBSA > Forms and Document Requests   

Forms, Document Requests And FOIA

ERISA Reporting Forms

Form M-1 Annual Report

The Form M-1 Online Filing System is an electronic filing system for the Form M-1 annual report for multiple employer welfare arrangements.  The system allows filers to complete the form and submit it at no cost.  This system is an example of an E-Government initiative which uses improved technology to make it easier for citizens and businesses to interact with the government.

Form M-1 Online Filing System

The ERISA Public Disclosure System is an internet-based application designed to facilitate the search and retrieval of Form M-1 filings. The Form M-1 is filed annually by MEWAs (Multiple Employer Welfare Arrangements) and ECEs (Entities Claiming Exception). Users can search by plan name, sponsor name, employer identification number (EIN), or the state of the MEWA headquarters or where coverage is offered by entering data in one or more fields. The search is most effective when data is entered into several fields. For more information and instructions on how to use the ERISA Public Disclosure System for the Form M-1 filings, at the bottom of the Form M-1 Search page, select EPDS User Manual. Copies of the Form M-1 filings are also available from EBSA’s Public Disclosure Room at 200 Constitution Avenue, NW, Room N-1513, Washington, DC 20210, or by calling 202.693.8673.

EFAST - ERISA Filing Acceptance System

In conjunction with revisions to the annual return/report forms adopted in 1999, the Department of Labor, Internal Revenue Service, and Pension Benefit Guaranty Corporation developed a new computerized system, the ERISA Filing Acceptance System (EFAST) to streamline filing and processing of the new forms by relying on computer scannable forms and electronic filing technologies.

Obtaining ERISA Documents

As mandated by the pension reform law, the Employee Benefits Security Administration operates a public disclosure facility. Our publication, How to Obtain Employee Benefit Plan Documents from the Department of Labor, describes the documents and materials available through the EBSA public disclosure room, and also tells you how to use this facility.

Freedom Of Information Act Requests

FOIA Information and EBSA Reading Room - FOIA provides for public access to records maintained by EBSA. A FOIA request is a written request for records held or believed to be held by EBSA. The written request need not specifically refer to the FOIA. The Act requires that agencies provide records unless they are exempt from disclosure as defined in the Act.

ERISA Filings: State Registered Investment Advisor Filings

Instead of filing a copy of their state registration forms with the Department of Labor, state-registered investment advisers seeking to obtain or maintain investment manager status under Title I of ERISA must electronically register through the Investment Adviser Registration Depository (IARD) as an investment adviser with the state in which they maintain their principal office and place of business. The IARD is a centralized electronic filing system established by the Securities and Exchange Commission in conjunction with state securities authorities. All states accept forms filed via the IARD to satisfy state registration requirements. Pertinent state registration information in the IARD database is available to the general public through the Investment Advisor Public Disclosure Web site.

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