Prohibited Transaction Class Exemption for Cross-Trades of Securities by Index and Model-Driven Funds (PTCE 2002-12)

OMB 1210-0115

PTCE 2002-12 permits cross trades of securities among Index and Model-Driven Funds (Funds) managed by investment managers and among such Funds and certain Large Accounts to which such investment managers act as a "trading adviser" in connection with a specific portfolio restructuring program.

The latest form for Prohibited Transaction Class Exemption for Cross-Trades of Securities by Index and Model-Driven Funds (PTCE 2002-12) expires 2022-04-30 and can be found here.

Latest Forms, Documents, and Supporting Material

Document Name
1210-0115 PTE02-12ss22 2-15-2022.docx Supporting Statement A
Prohibited Transaction Class Exemption for Cross-Trades of Securities by Index and Model-Driven Funds (PTCE2002-12) Other-PTE 2002-12

All Historical Document Collections

202201-1210-007 Approved without change	Extension without change of a currently approved collection	2022-02-23
201809-1210-002 Approved without change	Extension without change of a currently approved collection	2019-03-01
201509-1210-004 Approved without change	Extension without change of a currently approved collection	2015-10-22
201204-1210-003 Approved without change	Extension without change of a currently approved collection	2012-08-03
200907-1210-008 Approved without change	Extension without change of a currently approved collection	2009-07-30
200606-1210-001 Approved without change	Extension without change of a currently approved collection	2006-06-07
200304-1210-001 Approved without change	Extension without change of a currently approved collection	2003-04-30
200204-1210-003 Approved without change	No material or nonsubstantive change to a currently approved collection	2002-04-30
199912-1210-002 Approved without change	New collection (Request for a new OMB Control Number)	1999-12-13