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Federal forms, ICRs, and supporting documents

OMB control number

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

OMB 1210-0049 · DOL/EBSA.

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 2026-06-30 and can be found here.

Latest Forms, Documents, and Supporting Material
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Name
Supporting Statement A
Supplementary Document
All Historical Document Collections
 Extension without change of a currently approved collection 2026-01-16
Approved without change
 Extension without change of a currently approved collection 2023-01-03
Approved with change
 Extension without change of a currently approved collection 2019-12-30
Approved without change
 Extension without change of a currently approved collection 2016-08-17
Approved without change
 Revision of a currently approved collection 2013-06-12
Approved without change
 Extension without change of a currently approved collection 2011-04-08
Approved without change
 Extension without change of a currently approved collection 2008-03-12
Approved without change
 Extension without change of a currently approved collection 2005-02-28
Approved without change
 Extension without change of a currently approved collection 2001-12-19
Approved without change
 Extension without change of a currently approved collection 1998-09-30
Approved without change
 Reinstatement with change of a previously approved collection 1995-06-26
Approved without change
 Reinstatement with change of a previously approved collection 1991-05-14
Approved without change
 Reinstatement with change of a previously approved collection 1987-05-19
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