Prohibited Transaction Class Exemption for Cross-Trades of Securities by Index and Model-Driven Funds (PTCE2002-12)

ICR 200606-1210-001

OMB: 1210-0115

Federal Form Document

Forms and Documents
Document
Name
Status
No forms / supporting documents in this ICR. Check IC Document Collections.
ICR Details
1210-0115 200606-1210-001
Historical Active 200304-1210-001
DOL/EBSA
Prohibited Transaction Class Exemption for Cross-Trades of Securities by Index and Model-Driven Funds (PTCE2002-12)
Extension without change of a currently approved collection   No
Regular
Approved without change 08/04/2006
Retrieve Notice of Action (NOA) 06/07/2006
  Inventory as of this Action Requested Previously Approved
08/31/2009 36 Months From Approved 08/31/2006
960 0 840
855 0 4,328
0 0 96,000

PTCE 2002-12 permits cross trades of securities among Index and Model-Driven Funds (Funds) managed by investment managers and among such Funds and certain Large Accounts to which such investment managers act as a "trading adviser" in connection with a specific portfolio restructuring program.

None
None


No

1
IC Title Form No. Form Name
Prohibited Transaction Class Exemption for Cross-Trades of Securities by Index and Model-Driven Funds (PTCE2002-12)

  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 960 840 0 0 120 0
Annual Time Burden (Hours) 855 4,328 0 0 -3,473 0
Annual Cost Burden (Dollars) 0 96,000 0 0 -96,000 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.
06/07/2006


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