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

ICR 202201-1210-007

OMB: 1210-0115

Federal Form Document

Forms and Documents
Document
Name
Status
Supporting Statement A
2022-02-15
ICR Details
1210-0115 202201-1210-007
Received in OIRA 201809-1210-002
DOL/EBSA
Prohibited Transaction Class Exemption for Cross-Trades of Securities by Index and Model-Driven Funds (PTCE 2002-12)
Extension without change of a currently approved collection   No
Regular 02/23/2022
  Requested Previously Approved
36 Months From Approved 04/30/2022
840 840
855 855
1,290 1,146

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.

US Code: 29 USC 1108 Name of Law: Employee Retirement Income Security Act of 1974
  
None

Not associated with rulemaking

  86 FR 62208 11/09/2021
87 FR 10250 02/23/2022
No

1
IC Title Form No. Form Name
Prohibited Transaction Class Exemption for Cross-Trades of Securities by Index and Model-Driven Funds (PTCE2002-12)

  Total Request Previously Approved Change Due to New Statute Change Due to Agency Discretion Change Due to Adjustment in Estimate Change Due to Potential Violation of the PRA
Annual Number of Responses 840 840 0 0 0 0
Annual Time Burden (Hours) 855 855 0 0 0 0
Annual Cost Burden (Dollars) 1,290 1,146 0 0 144 0
No
No

$0
No
    No
    No
No
No
No
No
James Butikofer 202 693-8434 Butikofer.James@dol.gov

  No

On behalf of this Federal agency, I certify that the collection of information encompassed by this request complies with 5 CFR 1320.9 and the related provisions of 5 CFR 1320.8(b)(3).
The following is a summary of the topics, regarding the proposed collection of information, that the certification covers:
 
 
 
 
 
 
 
    (i) Why the information is being collected;
    (ii) Use of information;
    (iii) Burden estimate;
    (iv) Nature of response (voluntary, required for a benefit, or mandatory);
    (v) Nature and extent of confidentiality; and
    (vi) Need to display currently valid OMB control number;
 
 
 
If you are unable to certify compliance with any of these provisions, identify the item by leaving the box unchecked and explain the reason in the Supporting Statement.
02/23/2022


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