Prohibited Transaction Class Exemption for Certain Transactions Between Investment Companies and Employee Benefit Plans (PTE 1977-4)

OMB 1210-0049

Prohibited Transaction Exemption 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.

The latest form for Prohibited Transaction Class Exemption for Certain Transactions Between Investment Companies and Employee Benefit Plans (PTE 1977-4) expires 2023-02-28 and can be found here.

Latest Forms, Documents, and Supporting Material

Document Name
1210-0049 PTE 77-4 SS 11-18-25.docx Supporting Statement A
AORequest.pdf Supplementary Document
Full Prospectus On Demand Other-Advisory Opinion
Summary Prospectus to Everyone Affected Other-Federal Register Notice

All Historical Document Collections

202506-1210-001	Extension without change of a currently approved collection	2026-01-16
202212-1210-004 Approved without change	Extension without change of a currently approved collection	2023-01-03
201909-1210-005 Approved with change	Extension without change of a currently approved collection	2019-12-30
201607-1210-005 Approved without change	Extension without change of a currently approved collection	2016-08-17
201304-1210-009 Approved without change	Revision of a currently approved collection	2013-06-12
201101-1210-003 Approved without change	Extension without change of a currently approved collection	2011-04-08
200802-1210-002 Approved without change	Extension without change of a currently approved collection	2008-03-12
200502-1210-004 Approved without change	Extension without change of a currently approved collection	2005-02-28
200112-1210-003 Approved without change	Extension without change of a currently approved collection	2001-12-19
199809-1210-014 Approved without change	Extension without change of a currently approved collection	1998-09-30
199506-1210-005 Approved without change	Reinstatement with change of a previously approved collection	1995-06-26
199105-1210-001 Approved without change	Reinstatement with change of a previously approved collection	1991-05-14
198705-1210-003 Approved without change	Reinstatement with change of a previously approved collection	1987-05-19
198402-1210-002 Approved without change	New collection (Request for a new OMB Control Number)	1984-02-01

OMB Details

Summary Prospectus to Everyone Affected

Federal Enterprise Architecture: Income Security - General Retirement and Disability