Summary Contents. Detailed Contents xi xiii Preface xliii lvii Introduction xlv How to Use This Book liii
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1 Summary Contents Note: The page numbers listed here refer to the fi rst page of the corresponding chapter. For the page numbers for specifi c references, please turn to the Detailed Contents. Detailed Contents xi xiii Preface xliii lvii Introduction xlv How to Use This Book liii PTE Part 1 Prohibited Transaction Class Exemptions 75-1 Securities Transactions Involving Broker-Dealers, Reporting Dealers and Banks Delinquent Contributions, Construction Loans, and Furnishing of Office Space, Administrative Services and Goods Involving Multiple Employer Plans 69 7 v
2 vi ERISA Class Exemptions 2009 Cumulative 77-3 In-House Plans of Open-End Investment Companies Purchase or Sale of Shares of Open-End Investment Companies (Mutual Funds) Transfer of Individual Life Insurance and Annuity Contracts to Plans (Amended and Superseded by PTE 92-5) Transfer of Individual Life Insurance Contracts and Annuities from Plans (Amended and Superseded by PTE 92-6) Transactions Involving Insurance Agents and Brokers, Pension Consultants, Insurance and Investment Companies, and Investment Company Principal Underwriters (Amended and Superseded by PTE 84-24) Furnishing of Office Space, Administrative Services and Goods Involving Multiple Employer Plans Apprenticeship and Training Plans Extension of PTE 75-1 for Executing Securities Transactions Insurance Company Pooled Separate Accounts (Amended and Superseded by PTE 90-1) Executing Securities Transactions (Replaced by PTE ) Purchase of Customer Notes of Employer (Replaced by PTE 85-68) 335
3 Summary Contents vii In-House Plans of Closed-End Investment Companies Transactions Authorized or Required by Judicial Order or Judicially Approved Settlement Decree Sale of Funding Contract by an Insurance Company Affiliated with the Employer taining the Plan (Captive Insurance) Sale of Insurance or Annuity Contracts to Plans tained by Insurance Agent or Broker Interest-Free Loans Bank Collective Investment Funds (Amended and Superseded by PTE 91-38) Use of Proceeds from Sale of Securities to Reduce or Retire Indebtedness Lending of Securities (Amended and Superseded by PTE ) Mortgage Pool Investment Trusts (Amended and Superseded by PTE 83-1) Short-Term Investments Guaranteed Contract Separate Accounts (Revoked) Compensation to Fiduciaries for Securities Lending Services (Amended and Superseded by PTE ) Residential Mortgage Financing Arrangements (Amended and Superseded by PTE 88-59) 689
4 viii ERISA Class Exemptions 2009 Cumulative 83-1 Mortgage Pool Investment Trusts (Amends and Supersedes PTE 81-7) Transactions Determined by an Independent Qualified Professional Asset Manager (QPAM) Transactions Involving Insurance Agents and Brokers, Pension Consultants, Insurance and Investment Companies, and Investment Company Principal Underwriters (Amends and Supersedes PTE 77-9) Recapture of Brokerage Commissions on Behalf of Insurance Company Pooled Separate Accounts (Replaced by PTE ) Purchase of Customer Notes of Employer (Replaces PTE 79-9) Executing Securities Transactions and Recapture of Commissions (Replaces PTE 79-1 and PTE 84-46) Residential Mortgage Financing Arrangements (Amends and Supersedes PTE 82-87) Insurance Company Pooled Separate Accounts (Amends and Supersedes PTE 78-19) Bank Collective Investment Funds (Amends and Supersedes PTE 80-51) American Eagle Coins Transfer of Individual Life Insurance and Annuity Contracts to Plans (Amends and Supersedes PTE 77-7) 1105
5 Summary Contents ix 92-6 Transfer of Individual Life Insurance and Annuity Contracts From Plans (Amends and Supersedes PTE 77-8) Certain Transactions Involving Individual Retirement Accounts and Plans for Self- Employed Individuals Receipt of Certain Services in Connection with Individual Retirement Accounts and Plans for Self-Employed Individuals (Amended and Superseded by PTE 93-33) Receipt of Certain Services in Connection with Individual Retirement Accounts and Plans for Self-Employed Individuals (Amends and Supersedes PTE 93-2) Foreign Exchange Transactions Certain Transactions Authorized Pursuant to Settlement Agreements with Department of Labor Insurance Company General Accounts In-House Asset Managers Expedited Exemption Procedure Restoration of Delinquent Participant Contributions Relationship Brokerage Collective Investment Fund Conversion Transactions Foreign Exchange Transactions Pursuant to Standing Instructions
6 x ERISA Class Exemptions 2009 Cumulative Passive Cross-Trades Class Exemption Coverage of Non-Title I Plans Voluntary Fiduciary Correction Program Settlements REIT Shares Automatic Rollover Safe Harbor Abandoned Plans Securities Lending Amended and Restated Exemption (Amends and Supersedes PTEs 81-6 and 82-63) Part 2 Statutory Prohibited Transaction Exemptions Added by the Pension Protection Act of 2006 Statutory Prohibited Transaction Exemptions Added by the Pension Protection Act of 2006: Overview 123 ERISA Section 408(b)(14) Participant Investment Advice (Also Section 4975(d)(17) of the Code) 125 ERISA Section 408(b)(15) Block Trading (Also Section 4975(d)(18) of the Code) 329 ERISA Section 408(b)(16) Electronic Communication Networks (ECNs) (Also Section 4975(d)(19) of the Code) 333 ERISA Section 408(b)(17) Service Provider Exemption (Also Section 4975(d)(20) of the Code) 337 ERISA Section 408(b)(18) Foreign Exchange Transactions (Also Section 4975(d)(21) of the Code) 343
7 Summary Contents xi ERISA Section 408(b)(19) Securities Cross-Trading (Also Section 4975(d)(22) of the Code) 347 ERISA Section 408(b)(20) Prohibited Transaction Correction Period (Also Section 4975(d)(23) of the Code) 391 Appendixes: Proposed Class Exemptions That Have Not Been Granted I. Life Insurance Company Discretionary Asset Management 1939 II. Guaranteed Contract Separate Accounts; Fiduciary Transactions 1959 III. Securities Lending Amended and Restated Exemption (See PTE ) 1967 IV. Service Provider Disclosures 397 Index of Applicants 1991 Topical Index About the Authors
8
Summary Contents. Detailed Contents xiii xi Preface li lix Introduction liii How to Use This Book lxi
Summary Contents Note: The page numbers listed here refer to the first page of the corresponding chapter. For the page numbers for specific references, please turn to the Detailed Contents. Administrative
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