Class Exemption 77-4 for Certain Transactions Between Investment Companies and Employee Benefit Plans

ICR 200502-1210-004

OMB: 1210-0049

Federal Form Document

Forms and Documents
Document
Name
Status
No forms / supporting documents in this ICR. Check IC Document Collections.
ICR Details
1210-0049 200502-1210-004
Historical Active 200112-1210-003
DOL/EBSA
Class Exemption 77-4 for Certain Transactions Between Investment Companies and Employee Benefit Plans
Extension without change of a currently approved collection   No
Regular
Approved without change 04/07/2005
Retrieve Notice of Action (NOA) 02/28/2005
  Inventory as of this Action Requested Previously Approved
04/30/2008 04/30/2008 04/30/2005
128,000 0 82,240
11,117 0 7,069
49,000 0 31,000

PTE 77-4 permits an employee benefit plan to purchase and sell shares of an open-end investment company (mutual fund) when a fiduciary with respect to the plan is also the investment advisor for the mutual fund.

None
None


No

1
IC Title Form No. Form Name
Class Exemption 77-4 for Certain Transactions Between Investment Companies and Employee Benefit Plans

  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 128,000 82,240 0 0 45,760 0
Annual Time Burden (Hours) 11,117 7,069 0 0 4,048 0
Annual Cost Burden (Dollars) 49,000 31,000 0 0 18,000 0
No
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.
02/28/2005


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