Information Collection

Employee Retirement Income Security Act Prohibited Transaction Exemption 1986-128 For Securities Transactions Involving Employee Benefit Plans and Broker-Dealers

IC 38407 under ICR 201412-1210-005 · OMB 1210-0059.

⚠️ Notice: This information collection may be referencing outdated material. More recent filings for OMB 1210-0059 can be found here:

Documents and Forms

Document Name Document Type
pte 86-128.rtf Other-Prohibited Transaction Exempti
pte86-128amendment2002.pdf Other-Prohibited Transaction Exempti

Information Collection (IC) Details

View Information Collection (IC)

IC Title:	Employee Retirement Income Security Act Prohibited Transaction Exemption 1986-128 For Securities Transactions Involving Employee Benefit Plans and Broker-Dealers	Agency IC Tracking Number:

Is this a Common Form? No		IC Status: Modified

Obligation to Respond: Required to Obtain or Retain Benefits

CFR Citation:

Information Collection Instruments:

Document Type	Form No.	Form Name	Instrument File	URL	Available Electronically?	Can Be Submitted Electronically?	Electronic Capability
Other-Prohibited Transaction Exemption Amendment			pte86-128amendment2002.pdf		No		Printable Only
Other-Prohibited Transaction Exemption			pte 86-128.rtf		Yes	No	Printable Only

Line of Business: Income Security

Subfunction: General Retirement and Disability

Privacy Act System of Records
Title:	FR Citation:

Number of Respondents: 17,800	Number of Respondents for Small Entity: 0

Affected Public: Private Sector	Private Sector: Businesses or other for-profits, Not-for-profit institutions

Percentage of Respondents Reporting Electronically: 38 %

	Approved	Change Due to Adjustment in Agency Estimate	Previously Approved
Annual Number of Responses for this IC	1,300,000	100,200	1,199,800
Annual IC Time Burden (Hours)	35,000	-28,800	63,800
Annual IC Cost Burden (Dollars)	1,100,000	363,200	736,800

Documents for IC

Title	Document	Date Uploaded
No associated records found

Blank fields in records indicate information that was not collected or not collected electronically prior to July 2006.