OMB control number
Prudence and Loyalty in Selecting Plan Investments and Exercising Shareholder Rights
OMB 1210-0162 ยท DOL/EBSA.
OMB 1210-0162
The information collection requires that for investments that are not participant directed, defined benefit (DB) plans and defined contribution (DC) plans maintain records when different investments are economically indistinguishable, documenting specifically why the investments were determined to be indistinguishable and the selected investment was chosen based on the purposes of the plan and the financial interests of plan participants and beneficiaries in receiving benefits from the plan. The information collection also requires that individual account plan fiduciaries will need to document their selections of investment alternatives that include one or more ESG or similarly oriented assessments or judgments in their investment mandates or that include these parameters in the fund name.
The latest form for Prudence and Loyalty in Selecting Plan Investments and Exercising Shareholder Rights expires 2024-01-31 and is listed under ICR 202009-1210-002.
Latest Forms, Documents, and Supporting Material
| Document | Type |
|---|---|
 1210-0162 ESG-Proxy Supporting Statement 10-14-21.docx | Supporting Statement A |
 29 USC 1104 - 1132.pdf | Supplementary Document |
 Prudence and Loyalty in Selecting Plan Investments and Exercising Shareholder Rights |
Information collection |
All Historical Document Collections
| Reference | Filing | Received | Concluded | Action |
|---|---|---|---|---|
| 202109-1210-002 | Revision of a currently approved collection | 2021-10-14 | Comment filed on proposed rule and continue | |
| 202009-1210-002 | New collection (Request for a new OMB Control Number) | 2020-11-13 | Approved without change | |
| 202004-1210-003 | New collection (Request for a new OMB Control Number) | 2020-06-30 | Comment filed on proposed rule |