Class Exemption for Certain Transactions Involving Employee Benefit Plans and Securities Broker-dealers (Replacing PTE 97-1 and PTE 84-46)

ICR 199506-1210-017

OMB: 1210-0059

Federal Form Document

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Document
Name
Status
No forms / supporting documents in this ICR. Check IC Document Collections.
ICR Details
1210-0059 199506-1210-017
Historical Active 199011-1210-001
DOL/EBSA
Class Exemption for Certain Transactions Involving Employee Benefit Plans and Securities Broker-dealers (Replacing PTE 97-1 and PTE 84-46)
Reinstatement with change of a previously approved collection   No
Regular
Approved without change 09/11/1995
Retrieve Notice of Action (NOA) 06/28/1995
Burden recorded as program change since previous collection had expired. Number of responses reflects quarterly plus annual reports.
  Inventory as of this Action Requested Previously Approved
11/30/1998 11/30/1998
327,124 0 0
64,743 0 0
0 0 0

This class exemption exempts from the prohibited transaction restrictions of ERISA the effecting or executing of securities transactions on behalf of an employee benefit plan by a person who is a fiduciary with respect to the plan and who is acting in such transaction as agent for the plan.

None
None


No

  Total Approved Previously Approved Change Due to New Statute Change Due to Agency Discretion Change Due to Adjustment in Estimate Change Due to Potential Violation of the PRA
Annual Number of Responses 327,124 0 0 327,124 0 0
Annual Time Burden (Hours) 64,743 0 0 64,743 0 0
Annual Cost Burden (Dollars) 0 0 0 0 0 0
Yes
No

$0
No
No
Uncollected
Uncollected
Uncollected
Uncollected

  No

On behalf of this Federal agency, I certify that the collection of information encompassed by this request complies with 5 CFR 1320.9 and the related provisions of 5 CFR 1320.8(b)(3).
The following is a summary of the topics, regarding the proposed collection of information, that the certification covers:
 
 
 
 
 
 
 
    (i) Why the information is being collected;
    (ii) Use of information;
    (iii) Burden estimate;
    (iv) Nature of response (voluntary, required for a benefit, or mandatory);
    (v) Nature and extent of confidentiality; and
    (vi) Need to display currently valid OMB control number;
 
 
 
If you are unable to certify compliance with any of these provisions, identify the item by leaving the box unchecked and explain the reason in the Supporting Statement.
06/28/1995


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