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

OMB 1210-0059

Prohibited Transaction Exemption 86-128 (as amended) permits persons who serve as fiduciaries for employee benefit plans to effect or execute securities transactions on behalf of employee benefit plans.

The latest form for Employee Retirement Income Security Act Prohibited Transaction Exemption 1986-128 For Securities Transactions Involving Employee Benefit Plans and Broker-Dealers expires 2022-08-31 and can be found here.

Latest Forms, Documents, and Supporting Material

Document Name
1210-0059 PTE 86-128 Supporting Statement 11-02-2023.docx Supporting Statement A
Employee Retirement Income Security Act Prohibited Transaction Exemption 1986-128 For Securities Transactions Involving Employee Benefit Plans and Broker-Dealers Other-Prohibited Transaction Exemption

All Historical Document Collections

202308-1210-006 Comment filed on proposed rule and continue	Revision of a currently approved collection	2023-11-03
202204-1210-004 Approved without change	Extension without change of a currently approved collection	2022-06-28
201906-1210-003 Approved without change	Revision of a currently approved collection	2019-06-28
201603-1210-005 Approved without change	Revision of a currently approved collection	2016-04-08
201503-1210-001 Comment filed on proposed rule and continue	Revision of a currently approved collection	2015-04-20
201412-1210-005 Approved without change	Extension without change of a currently approved collection	2015-01-27
201108-1210-004 Approved without change	Extension without change of a currently approved collection	2011-09-29
200807-1210-005 Approved without change	Extension without change of a currently approved collection	2008-08-14
200509-1210-001 Approved without change	No material or nonsubstantive change to a currently approved collection	2005-09-19
200506-1210-001 Approved without change	Extension without change of a currently approved collection	2005-06-22
200205-1210-001 Approved without change	Revision of a currently approved collection	2002-05-10
200112-1210-004 Approved without change	Extension without change of a currently approved collection	2001-12-19
199809-1210-015 Approved without change	Extension without change of a currently approved collection	1998-09-30
199506-1210-017 Approved without change	Reinstatement with change of a previously approved collection	1995-06-28
199011-1210-001 Not subject to PRA and continue	Revision of a currently approved collection	1990-11-07
198803-1210-001 Approved with change	No material or nonsubstantive change to a currently approved collection	1988-03-15
198801-1210-001 Approved without change	Revision of a currently approved collection	1988-01-21
198612-1210-002 Approved without change	Revision of a currently approved collection	1986-12-19
198607-1210-001 Approved without change	Reinstatement with change of a previously approved collection	1986-07-31
198510-1210-001 Approved without change	Revision of a currently approved collection	1985-10-10
198501-1210-003 Approved without change	Revision of a currently approved collection	1985-01-29
198404-1210-001 Approved without change	New collection (Request for a new OMB Control Number)	1984-04-05