Information Collection

Prohibited Transaction Exemption 86-128 For Securities Transactions Involving Employee Benefit Plans and Broker-Dealers

IC 38407 under ICR 201503-1210-001 · 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⚠️ Notice: This information collection may be referencing outdated material.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

Documents and forms in this information collection
Document Name	Document Type
pte 86-128.rtf	Other-Prohibited Transaction Exempti
pte86-128amendment2002.pdf	Other-Prohibited Transaction Exempti

IC Title:

Prohibited Transaction Exemption 86-128 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:

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

Line of Business: Income Security

Subfunction: General Retirement and Disability

Privacy Act System of Records

Title:

FR Citation:

Number of Respondents: 14,000

Number of Respondents for Small Entity: 0

Affected Public: Private Sector

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

Percentage of Respondents Reporting Electronically: 38 %

table that charts list of burden
	Requested	Program Change Due to Agency Discretion	Change Due to Adjustment in Agency Estimate	Previously Approved
Annual Number of Responses for this IC	958,000	0	-342,000	1,300,000
Annual IC Time Burden (Hours)	29,000	2,000	-8,000	35,000
Annual IC Cost Burden (Dollars)	783,000	0	-317,000	1,100,000

Documents for IC

table that charts IC Documents
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.