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
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.