Below is a historical list of exemptions and EXPRO authorizations. They may not reflect current policies or procedures. The Department, for example, may require terms and conditions that were not required in prior exemptions. Persons considering filing for an exemption or EXPRO authorization may find it very helpful to discuss the facts or issues in their cases with the Department before preparing the filing. The Department welcomes all inquiries and is available to answer any questions you may have. Call us at 202-693-8540.
Final Authorization Number |
Description of Transaction |
Substantially Similar Transactions |
---|---|---|
12-15E |
Sale by Plan of Other Securities |
PTE 09-17 IRA of Michael Ball |
12-14E |
Sale by Plan of Other Securities |
PTE 09-17 IRA of Michael Ball |
12-13E |
Sale by Plan of Other Securities |
PTE 09-17 IRA of Michael Ball |
12-12E |
Sale by Plan of Other Securities |
PTE 09-17 IRA of Michael Ball |
12-11E |
Sale by Plan of Other Securities |
PTE 09-17 IRA of Michael Ball |
12-10E |
Sale by Plan of Other Securities |
PTE 09-17 IRA of Michael Ball |
12-09E |
Sale by Plan of Real Property |
PTE 05-10 North Texas Electrical Apprenticeship & Training Trust Fund |
12-08E |
Sale by Plan of Real Property |
PTE 06-02 Pa Instit Neurogolical |
12-07E |
Sale by Plan of Other Securities |
PTE 09-33 Cotter Merchandise Storage Co. |
12-06E |
Captive Reinsurance |
PTE 04-12 Svenska Cellulosa |
12-05E |
Sale by Plan of Other Securities |
PTE 09-17 Individual Retirement Accounts for Ralph Hartwell et. al. |
12-04E |
Sale by Plan of Real Property |
PTE 09-11E McHenry Law Firm Retirement Plan and Trust Jul. 18, 2009 |
12-03E |
Captive Reinsurance |
PTE 03-07 Archer Daniels |
12-02E |
Similar to QPAM relief without diverse clientele test |
PTE 09-24 U.S. Steel and Carnegie Pension Fund |
12-01E |
Captive Reinsurance |
PTE 03-07 Archer Daniels |
Final Authorization Number |
Description of Transaction |
Substantially Similar Transactions |
---|---|---|
11-10E |
Captive Reinsurance |
PTE 04-12 Svenska Cellulosa |
11-09E |
Sale (or Redemption) by Plan of Other Real Property |
PTE 08-11 Pileco Inc |
11-08E |
Asset-Backed Securities/Underwriter Exemption |
FAN 11-05E Cantor Fitzgerald & Co Jun. 6, 2011 |
11-07E |
Sale by Plan of Partnership Interests |
PTE 09-04 Heico Holding Inc Pension Plan |
11-06E |
Captive Reinsurance |
FAN 08-22E Memorial Sloan-Kettering Cancer Center Dec. 31, 2008 |
11-05E |
Asset-Backed Securities/Underwriter Exemption |
FAN 09-12E Amherst Securites Sep. 14, 2009 |
11-04E |
Sale by Plan of Real Property |
PTE 02-26 Holt Fleck & Free |
11-03E |
Sale of employer stock by an ESOP to the plan sponsor, an S corporation which is over 50% owned by a shareholder employee |
PTE 03-14 ACR Homes Inc |
11-02E |
Credit Facility Arrangement |
PTE 04-02 Bank of America |
11-01E |
Credit Facility Arrangement |
PTE 04-02 Bank of America |
Final Authorization Number |
Description of Transaction |
Substantially Similar Transactions |
---|---|---|
10-04E |
Sale by Plan of Real Property |
PTE 07-15 Hawaii Emergency |
10-03E |
Sale by Plan of Real Property |
PTE 03-34 Hayden O Grona IRA |
10-02E |
Captive Reinsurance |
PTE 00-48 Columbia Energy |
10-01E |
Sale by Plan of Real Property |
PTE 06-17 Frank D. May |
Final Authorization Number |
Description of Transaction |
Substantially Similar Transactions |
---|---|---|
09-17E |
Captive Reinsurance |
PTE 00-48 Columbia Energy |
09-16E |
Captive Reinsurance |
PTE 00-48 Columbia Energy |
09-15E |
Sale by Plan of Real Property |
PTE 06-02 PA Inst Neurological |
09-14E |
Captive Reinsurance |
PTE 00-48 Columbia Energy |
09-13E |
Purchase by Plan of Real Property |
PTE 04-18 Carpenters Joint Trng |
09-12E |
Asset-Backed Securities/Underwriter Exemption |
FAN 09-06E NatCity Investments Mar. 28, 2009 |
09-11E |
Sale by Plan of Real Property |
PTE 06-02 Pa Instit Neurogolical |
09-10E |
Captive Reinsurance |
PTE 00-48 Columbia Energy |
09-09E |
Sale by Plan of Partnership Interest |
PTE 06-17 Frank D. May |
09-08E |
Sale by Plan of Real Property |
PTE 99-35 H. H. Borland Inc PSP |
09-07E |
Purchase by Plan of Real Property |
PTE 00-21 Texas Iron Workers |
09-06E |
Asset-Backed Securities/Underwriter Exemption |
FAN 08-03E SunTrust Robinson Mar. 10, 2008 |
09-05E |
In-Kind Redemption of Mutual Fund Shares |
PTE 07-04 Mellon Financial |
09-04E |
Sale by Plan of Real Property |
PTE 06-02 Pa Instit Neurogolical |
09-03E |
Asset-Backed Securities/Underwriter Exemption |
PTE 03-31 RBC Dain Rauscher |
09-02E |
Sale by Plan of Other Securities |
PTE 07-09 DeRose Dental |
09-01E |
Captive Reinsurance |
PTE 00-48 Columbia Energy |
Final Authorization Number |
Description of Transaction |
Substantially Similar Transactions |
---|---|---|
08-22E |
Captive Reinsurance |
PTE 00-48 Columbia Energy |
08-21E |
Sale by Plan of Other Securities |
PTE 98-59 Albright, Hamre et al |
08-20E |
Sale by Plan of Other Securities |
PTE 98-59 Albright, Hamre et al |
08-19E |
Sale by Plan of Other Securities |
PTE 98-59 Albright, Hamre et al |
08-18E |
Captive Reinsurance |
PTE 00-48 Columbia Energy |
08-17E |
Captive Reinsurance |
PTE 00-48 Columbia Energy |
08-16E |
Captive Reinsurance |
PTE 00-48 Columbia Energy |
08-15E |
Sale by Plan of Real Property |
PTE 07-15 Hawaii Emergency |
08-14E |
Sale-out of Non-employer Securities from IRA to Disqualified Person |
PTE 98-38 IRAs Roark, Young |
08-13E |
Sale-out of Non-employer Securities from IRA to Disqualified Person |
PTE 98-38 IRAs Roark, Young |
08-12E |
Sale-out of Non-employer Securities from IRA to Disqualified Person |
PTE 98-38 IRAs Roark, Young |
08-11E |
Sale-out of Non-employer Securities from IRA to Disqualified Person |
PTE 98-38 IRAs Roark, Young |
08-10E |
Sale-out of Non-employer Securities from IRA to Disqualified Person |
PTE 98-38 IRAs Roark, Young |
08-09E |
Sale-out of Non-employer Securities from IRA to Disqualified Person |
PTE 98-38 IRAs Roark, Young |
08-08E |
Captive Reinsurance |
PTE 04-12 Svenska Cellulosa |
08-07E |
Captive Reinsurance |
PTE 00-48 Columbia Energy |
08-06E |
Credit Facility Arrangement |
PTE 04-02 Bank of America |
08-05E |
Captive Reinsurance |
PTE 04-12 Svenska Cellulosa |
08-04E |
Captive Reinsurance |
PTE 04-12 Svenska Cellulosa |
08-03E |
Asset-Backed Securities/Underwriter Exemption |
PTE 03-31 RBC Dain Rauscher |
In-Kind redemption of assets by in-house plans of the investment advisers of mutual funds. |
PTE 02-20 Union Bk of California |
|
08-01E |
Credit Facility Arrangement |
PTE 04-02 Bank of America |
Final Authorization Number |
Description of Transaction |
Substantially Similar Transactions |
---|---|---|
07-13E |
Sale by IRA of Employer Securities |
PTE 99-28 Gaetano Lombardo |
07-12E |
Sale by IRA of Employer Securities |
PTE 99-28 Gaetano Lombardo |
07-11E |
Sale by IRA of Employer Securities |
PTE 99-28 Gaetano Lombardo |
07-10E |
Sale by Plan of Other Securities |
PTE 99-10 GUS Plan |
07-09E |
Stock Rights Offering |
PTE 01-24 ATGI 401(k) Plan |
07-08E |
Sale by Plan of Real Property |
PTE 06-02 Pa Instit Neurogolical |
07-07E |
Credit Facility Arrangement |
PTE 04-02 Bank of America |
07-06E |
Asset-Backed Securities/Underwriter Exemption |
PTE 06-07 Harris Nesbitt Corp |
07-05E |
Sale by Plan of Real Property; provided the transaction is entered within 90 days of the Final Authorization date, 04/06/07. |
PTE 00-20 Taylor M. Cole IRA |
07-04E |
Captive Reinsurance |
PTE 00-48 Columbia Energy |
07-03E |
Sale by Plan of Real Property |
PTE 00-20 Taylor M. Cole IRA |
07-02E |
Captive Reinsurance |
PTE 04-12 Svenska Cellulosa |
07-01E |
Captive Reinsurance |
PTE 04-12 Svenska Cellulosa |
Final Authorization Number |
Description of Transaction |
Substantially Similar Transactions |
---|---|---|
06-19E |
Sale by Plan of 3rd Party Stock to Disqualified Person |
PTE 98-59 Albright, Hamre et al |
06-18E |
Securities Lending between Plans and Broker-dealers (affiliated with plan fiduciary) |
PTE 02-45 Deutsche Bank AG |
06-17E |
Similar to QPAM relief without diverse clientele test |
PTE 01-05 DuPont Capital |
06-16E |
Sale by Plan of Partnership Interests |
PTE 01-09 Trenam Kemker et al |
06-15E |
Loan by Plan Secured by Real Property |
PTE 03-29 Valley OB-GYN Clinic |
06-14E |
Captive Reinsurance |
PTE 03-07 Archer Daniels |
06-13E |
Sale by Plan of Common Stock |
PTE 03-14 (ACR Homes Inc) |
06-12E |
Sale by Plan of Real Property |
PTE 03-13 Richard Gorman |
06-11E |
Captive Reinsurance |
PTE 03-07 Archer Daniels |
06-10E |
Index-Linked Debt Securities |
PTE 01-30 JP Morgan Chase |
06-09E |
Purchase or Sale of Securities in the Context of a Portfolio Liquidation or Restructuring |
PTE 03-20 Deutsche Bank |
06-08E |
Purchase by Plan of Other Securities |
PTE 01-04 SEI Investments Co |
06-07E |
Sale by Plan of Real Property |
PTE 02-26 Holt Fleck & Free PSP |
06-06E |
Rights Offering |
PTE 02-29 Wyndham Int’l. Inc. |
06-05E |
Similar to QPAM relief without diverse clientele test |
PTE 01-05 DuPont Capital Mgmt |
06-04E |
Credit Facility Arrangement |
PTE 04-02 Bank of America N.A. |
06-03E |
Sale by Plan of Partnership Interests |
PTE 99-48 Info. Systems Develop. |
06-02E |
Captive Reinsurance |
PTE 03-07 Archer Daniels |
06-01E |
Captive Reinsurance |
PTE 03-07 Archer Daniels |
Final Authorization Number |
Description of Transaction |
Substantially Similar Transactions |
---|---|---|
05-45E |
Sale by Plan of Other Securities |
PTE 98-38 Roark Young et al |
05-44E |
Sale by Plan of Other Securities |
PTE 98-38 Roark Young et al |
Sale by Plan of Other Securities |
PTE 98-38 Roark Young et al |
|
Sale by Plan of Other Securities |
PTE 98-38 Roark Young et al |
|
Sale by Plan of Other Securities |
PTE 98-38 Roark Young et al |
|
Sale by Plan of Other Securities |
PTE 98-38 Roark Young et al |
|
Sale by Plan of Other Securities |
PTE 98-38 Roark Young et al |
|
Sale by Plan of Other Securities |
PTE 98-38 Roark Young et al |
|
05-37E |
Sale by Plan of Other Securities |
PTE 98-38 Roark Young et al |
05-36E |
Sale by Plan of Other Securities |
PTE 98-38 Roark Young et al |
05-35E |
Sale by Plan of Other Securities |
PTE 98-38 Roark Young et al |
05-34E |
Sale by Plan of Other Securities |
PTE 98-38 Roark Young et al |
05-33E |
Sale by Plan of Other Securities |
PTE 98-38 Roark Young et al |
05-32E |
Sale by Plan of Other Securities |
PTE 98-38 Roark Young et al |
05-31E |
Sale by Plan of Other Securities |
PTE 98-38 Roark Young et al |
05-30E |
Sale by Plan of Other Securities |
PTE 98-38 Roark Young et al |
05-29E |
Sale by Plan of Other Securities |
PTE 98-38 Roark Young et al |
05-28E |
|
PTE 98-38 Roark Young et al |
05-27E |
Sale by Plan of Other Securities |
PTE 98-38 Roark Young et al |
05-26E |
Sale by Plan of Other Securities |
PTE 98-38 Roark Young et al |
05-25E |
Lease by Plan of Real Property |
PTE 01-25 Joliet Medical Group |
05-24E |
Purchase, Sale, or Holding of Publicly-traded Debt Securities and Extension of Credit |
PTE 01-30 J.P. Morgan |
05-23E |
Sale by Plan of Common Stock |
PTE 03-14 ACR Homes Inc |
05-22E |
Captive Reinsurance |
PTE 04-12 Svenska Cellulosa |
05-21E |
Private Equity Fund Investments |
PTE 00-32 Triumph Capital |
05-20E |
Private Equity Fund Investments |
PTE 00-32 Triumph Capital |
05-19E |
Credit Facility Arrangement |
PTE 04-02 Bank of America |
Private Equity Fund Investments |
PTE 00-32 Triumph Capital |
|
05-17E |
Private Equity Fund Investments |
PTE 00-32 Triumph Capital |
05-16E |
Private Equity Fund Investments |
PTE 00-32 Triumph Capital |
05-15E |
Private Equity Fund Investments |
PTE 00-32 Triumph Capital |
Private Equity Fund Investments |
PTE 00-32 Triumph Capital |
|
05-13E |
Sale by Plan of Real Property |
PTE 00-18 Rhode Island Carpenter |
05-12E |
Acquisition, Holding, Exercise & Disposition of Certain Warrants |
PTE 02-29 Wyndham Int’l Inc. |
05-11E |
Sale by Plan of Real Property |
PTE 00-23 Bay Internists, Inc |
05-10E |
Sale by Plan of Real Property |
PTE 00-31 H. Ray McPhail |
05-09E |
Investment of Plan Assets in Securities During the Existence of an Underwriting or Selling Syndicate Advised by a Fiduciary and the Receipt of Compensation |
PTE 03-24 Deutsche Bank |
05-08E |
Acquisition, Holding, Exercise & Disposition of Certain Warrants |
PTE 02-29 Wyndham Int’l Inc. |
05-07E |
Acquisition, Holding, Exercise & Disposition of Certain Warrants |
PTE 02-29 Wyndham Int’l Inc. |
05-06E |
Acquisition, Holding, Exercise & Disposition of Certain Warrants |
PTE 02-29 Wyndham Int’l Inc. |
05-05E |
Purchase or Sale of Securities in the Context of a Portfolio Liquidation or Restructuring |
PTE 03-20 Deutsche Bank |
05-04E |
Sale by Plan of Partnership Interests |
PTE 99-18 State Bankshares |
05-03E |
Purchase by Plan of Partnership Interests; Mergers and Acquisitions; and Incentive Compensation |
PTE 00-37 The Banc Funds Co. |
05-02E |
Captive Reinsurance |
PTE 03-07 Archer Daniels |
05-01E |
In-kind Redemption by In-house Plans of shares in certain proprietary mutual funds |
PTE 02-20 Union Bk of California |
Final Authorization Number |
Description of Transaction |
Substantially Similar Transactions |
---|---|---|
04-64E |
Sale by Plan of Other Securities |
PTE 98-38 IRAs Roark, Young |
04-63E |
Sale by Plan of Other Securities |
PTE 98-38 IRAs Roark, Young |
04-62E |
Sale by Plan of Other Securities |
PTE 98-38 IRAs Roark, Young |
04-61E |
Sale by Plan of Other Securities |
PTE 98-38 IRAs Roark, Young |
04-60E |
Sale by Plan of Other Securities |
PTE 98-38 IRAs Roark, Young |
04-59E |
Sale by Plan of Other Securities |
PTE 98-38 IRAs Roark, Young |
04-58E |
Sale by Plan of Other Securities |
PTE 98-38 IRAs Roark, Young |
04-57E |
IRAs Selling Shares of Company Stock so the Company can become Subchapter S Corporation |
PTE 98-38 IRAs Roark, Young |
04-56E |
IRAs Selling Shares of Company Stock so the Company can become Subchapter S Corporation |
PTE 98-38 IRAs Roark, Young |
04-55E |
IRAs Selling Shares of Company Stock so the Company can become Subchapter S Corporation |
PTE 02-10 Brenda Moran IRA |
04-54E |
Sale by Plan of Other Securities |
PTE 98-38 IRAs Roark, Young |
04-53E |
Sale by Plan of Other Securities |
PTE 98-38 IRAs Roark, Young |
04-52E |
Sale by Plan of Other Securities |
PTE 98-38 IRAs Roark, Young |
04-51E |
Sale by Plan of Other Securities |
PTE 98-38 IRAs Roark, Young |
04-50E |
Sale by Plan of Other Securities |
PTE 98-38 IRAs Roark, Young |
04-49E |
Sale by Plan of Other Securities |
PTE 98-38 IRAs Roark, Young |
04-48E |
Sale by Plan of Other Securities |
PTE 98-38 IRAs Roark, Young |
04-47E |
Sale by Plan of Other Securities |
PTE 98-38 IRAs Roark, Young |
04-46E |
Sale by Plan of Other Securities |
PTE 98-38 IRAs Roark, Young |
04-45E |
Sale by Plan of Other Securities |
PTE 98-38 IRAs Roark, Young |
04-44E |
Sale by Plan of Other Securities |
PTE 98-38 IRAs Roark, Young |
04-43E |
Sale by Plan of Other Securities |
PTE 98-38 IRAs Roark, Young |
04-42E |
Sale by Plan of Other Securities |
PTE 98-38 IRAs Roark, Young |
04-41E |
Sale by Plan of Other Securities |
PTE 98-38 IRAs Roark, Young |
04-40E |
Sale by Plan of Other Securities |
PTE 98-38 IRAs Roark, Young |
04-39E |
Sale by Plan of Other Securities |
PTE 98-38 IRAs Roark, Young |
04-38E |
Sale by Plan of Other Securities |
PTE 98-38 IRAs Roark, Young |
04-37E |
Sale by Plan of Other Securities |
PTE 98-38 IRAs Roark, Young |
04-36E |
Sale by Plan of Other Securities |
PTE 98-38 IRAs Roark, Young |
04-35E |
Sale by Plan of Other Securities |
PTE 98-38 IRAs Roark, Young |
04-34E |
Sale by Plan of Other Securities |
PTE 98-38 IRAs Roark, Young |
04-33E |
Sale by Plan of Other Securities |
PTE 98-38 IRAs Roark, Young |
04-32E |
Sale by Plan of Other Securities |
PTE 98-38 IRAs Roark, Young |
04-31E |
Sale by Plan of Other Securities |
PTE 98-38 IRAs Roark, Young |
04-30E |
Sale by Plan of Other Securities |
PTE 98-38 IRAs Roark, Young |
04-29E |
Sale by Plan of Other Securities |
PTE 98-38 IRAs Roark, Young |
04-28E |
Sale by Plan of Other Securities |
PTE 98-38 IRAs Roark, Young |
04-27E |
Sale by Plan of Other Securities |
PTE 98-38 IRAs Roark, Young |
04-26E |
Sale by Plan of Other Securities |
PTE 98-38 IRAs Roark, Young |
04-25E |
Sale by Plan of Other Securities |
PTE 98-59 Albright et al IRAs |
04-24E |
Sale by Plan of Other Securities |
PTE 98-59 Albright et al IRAs |
04-23E |
Sale by Plan of Other Securities |
PTE 98-59 Albright et al IRAs |
04-22E |
Purchase, sale or holding by Plan of Other Securities |
PTE 01-30 J.P. Morgan Chase |
04-21E |
Sale by Plan of Other Securities |
PTE 03-20 Deutsche Bank |
04-20E |
Sale by Plan of Partnership Interests |
PTE 99-48 Information Systems |
04-19E |
Sale by Plan of Real Property |
PTE 01-29 Gooch Enterprises, Inc |
04-18E |
Stock Rights Offering |
PTE 01-24 Alpha Technologies |
04-17E |
Captive Reinsurance |
PTE 00-48 Columbia Energy |
04-16E |
Securities/Underwriter Exemption |
PTE 00-19 BOSC, Inc. |
04-15E |
Sale by Plan of Real Property |
PTE 00-20 Taylor M. Cole IRA |
04-14E |
Sale by Plan of Other Assets |
PTE 99-18 State Bankshares |
04-13E |
Sale by Plan of Real Property |
PTE 99-35 H.H. Borland Inc PSP |
04-12E |
Sale Out by Plan of Fund Units to Party in Interest, Plan Sponsor |
PTE 00-04 TMI Systems |
04-11E |
Purchase, Sale, or Holding of Publicly-traded Debt Securities and Extension of Credit |
PTE 01-30 J.P. Morgan |
04-10E |
Sale by Plan of Real Property |
PTE 00-31 H. Ray McPhail |
04-09E |
Sale by Plan of Interest in Real Property |
PTE 03-03 Reagent Chemical |
04-08E |
Purchase by Plan of Real Property |
PTE 98-12 Hawaii Laborers' |
04-07E |
Loan by Plan Secured by Real Estate |
PTE 00-02 S&S Partnership |
04-06E |
Sale by Plan of Real Property |
PTE 03-13 Richard Gorman |
04-05E |
Sale Out of Farm Land by IRA to a Company Which is a Disqualified Person |
PTE 01-29 Gooch Enterprises Inc |
04-04E |
Loan by Plan Secured by Real Property |
PTE 00-02 S & S Partnership |
04-03E |
Asset-Backed Securities/Underwriter Exemption |
PTE 02-41 Amend PTE 00-58 |
04-02E |
Principal transaction w/employee benefit plans, securities borrowing; extensions of credit, and guarantee |
PTE 02-08 Modify PTE 97-08 |
04-01E |
Transitional brokerage services; principal transaction w/securities |
PTE 03-23 Goldman Sachs & Co |
Final Authorization Number |
Description of Transaction |
Substantially Similar Transactions |
---|---|---|
03-37E |
Sale by Plan of Real Property to Parties in Interest |
PTE 02-26 Holt Fleck & Free |
03-36E |
Sale of Stock by IRA to Disqualified Person |
PTE 98-59 Albright et al IRAs |
03-35E |
Sale of Stock by IRA to Disqualified Person |
PTE 98-59 Albright et al IRAs |
03-34E |
Sale of Stock by IRA to Disqualified Person |
PTE 98-59 Albright et al IRAs |
03-33E |
Sale of Real Property by Plan to Party in Interest |
PTE 01-29 Gooch Enterprises |
03-32E |
Captive Reinsurance |
PTE 03-07 Archer Daniels |
03-31E |
Investment of plan assets in mutual funds advised by a fiduciary and the receipt of fees by affiliates of plan fiduciary |
PTE 02-28 Mass Mutual Ins. |
03-30E |
Securities Lending between Plans and Broker-dealers (affiliated with plan fiduciary) |
PTE 02-48 Deutsche Bank AG |
03-29E |
Sale out of land parcels |
PTE 99-38 MICO Inc. PSP |
03-28E |
IRAs selling shares of Company stock so the Company can become Subchapter S Corporation |
PTE 98-38 Roark Young et al |
03-27E |
IRAs selling shares of Company stock so the Company can become Subchapter S Corporation |
PTE 98-38 Roark Young et al |
03-26E |
IRAs selling shares of Company stock so the Company can become Subchapter S Corporation |
PTE 98-38 Roark Young et al |
03-25E |
IRAs selling shares of Company stock so the Company can become Subchapter S Corporation |
PTE 98-38 Roark Young et al |
03-24E |
IRAs selling shares of Company stock so the Company can become Subchapter S Corporation |
PTE 98-38 Roark Young et al |
03-23E |
IRAs selling shares of Company stock so the Company can become Subchapter S Corporation |
PTE 98-38 Roark Young et al |
03-22E |
IRAs selling shares of Company stock so the Company can become Subchapter S Corporation |
PTE 98-38 Roark Young et al |
03-21E |
IRAs selling shares of Company stock so the Company can become Subchapter S Corporation |
PTE 98-38 Roark Young et al |
03-20E |
IRAs selling shares of Company stock so the Company can become Subchapter S Corporation |
PTE 98-38 Roark Young et al |
03-19E |
IRAs selling shares of Company stock so the Company can become Subchapter S Corporation |
PTE 98-38 Roark Young et al |
03-18E |
IRAs selling shares of Company stock so the Company can become Subchapter S Corporation |
PTE 98-38 Roark Young et al |
03-17E |
IRAs selling shares of Company stock so the Company can become Subchapter S Corporation |
PTE 98-38 Roark Young et al |
03-16E |
In-Kind redemption of assets by in-house plans of the investment advisers of mutual funds |
PTE 02-20 Union Bk of California |
03-15E |
Securities Transactions Described in PTE 75-1 & PTE 81-6 Between Plan and Certain Foreign Broker-Dealers |
PTE 01-45 Amend PTE 99-45 |
03-14E |
Asset-Backed and Mortgage Backed Securities |
PTE 02-41 Bear Stearns & Co |
03-13E |
Sale by Plan of Real Property |
PTE 01-37 Miller Int’l Inc. |
03-12E |
Sale by Plan of Other Securities |
PTE 00-63 Merrill Lynch & Co |
03-11E |
Sale by Plan of Partnership Interests |
PTE 99-48 Information Systems |
03-10E |
QPAM where affiliate has been convicted of a felony |
FAN 00-30E Nomura Corporate Dec. 3, 2000 |
03-09E |
Securities transaction described in PTE 75-1, PTE 81-6, between plans and certain foreign broker-dealers |
PTE 99-04 Salomon Smith Barney |
03-08E |
Securities Lending between Plans and Broker-dealers (affiliated with plan fiduciary) |
PTE 02-45 Deutsche Bank AG |
03-07E |
Asset-Backed Securities/Underwriter Exemption |
PTE 00-58 Amend PTE 97-34 |
03-06E |
Sale by Plan of Real Property |
PTE 01-29 Gooch Enterprises Inc |
03-05E |
Acquisition, holding and exercise or sale by the Plan of Employer Securities |
PTE 02-43 Chiquita Proc. Foods |
03-04E |
Sale by Plan of Interest in a Property |
PTE 00-64 David Mandelbaum |
03-03E |
Similar to QPAM relief without diverse clientele test |
PTE 01-05 DuPont Capital |
03-02E |
Sale by Plan of Real Property |
PTE 01-37 Miller Int’l. Inc |
03-01E |
Purchase by Plan of Real Property |
PTE 00-21 Texas Iron Wkrs |
Final Authorization Number |
Description of Transaction |
Substantially Similar Transactions |
---|---|---|
02-25E |
Sale by Plan of Other Securities |
PTE 99-06 Hummel, Gibson et al |
02-24E |
Sale by Plan of Other Securities |
PTE 99-06 Hummel, Gibson et al |
02-23E |
IRAs selling shares of Company stock so the Company can become Subchapter S Corporation |
PTE 98-38 Roark Young et al |
02-22E |
IRAs selling shares of Company stock so the Company can become Subchapter S Corporation |
PTE 98-38 Roark Young et al |
02-21E |
Sale by Plan of Promissory Notes |
PTE 98-50 John B. Vick DDS |
02-20E |
Sale by IRA stock to IRA Owners |
PTE 99-05 Brune, Glowacki et al |
02-19E |
Sale by IRA stock to IRA Owners |
PTE 99-05 Brune, Glowacki et al |
02-18E |
Sale by IRA stock to IRA Owners |
PTE 99-05 Brune, Glowacki et al |
02-17E |
Sale by IRA stock to IRA Owners |
PTE 99-05 Brune, Glowacki et al |
02-16E |
Sale by IRA stock to IRA Owners |
PTE 99-05 Brune, Glowacki et al |
02-15E |
Sale of Improved Real Property by Plan to Employer Sponsor |
PTE 99-20 VECO Corp. |
02-14E |
Sale by Plan of Real Property |
PTE 00-20 Taylor M. Cole IRA |
02-13E |
Sale by Plan of Securities (closely-held stock of bank holding company, Sub Chapter S Corporation) |
PTE 99-02 Toledo Clinic Inc |
02-12E |
Sale by Plan of Improved Real Property (Residential) |
PTE 99-35 H.H. Borland Inc |
02-11E |
Sale out of improved real property by the Plan to Party in Interest |
PTE 00-52 Kwik-Kopy Corp |
02-10E |
Securities transactions described in PTE 75-1, PTE 81-6, between plans and certain foreign broker-dealers |
PTE 98-62 Barclays Bank |
02-09E |
Purchase of securities for plan by Asset Manager/Fiduciary |
PTE 00-25 Morgan Guaranty |
02-08E |
Purchase by Plan of Real Property from the Union |
PTE 98-31 Pipefitters LU 537 |
02-07E |
Receipt by Plan of Warrants to buy Employer Stock |
PTE 02-02 Golden Retirement |
02-06E |
Purchase by Plans of Interests in a Private Equity Fund that is a Party in Interest |
PTE 00-32 Triumph Capital Grp |
02-05E |
Sale of Unimproved Real Property by IRA to IRA Owner |
PTE 00-20 Taylor M. Cole IRA |
02-04E |
Sale by Plan of Other Securities to the Plan Sponsor |
PTE 99-48 Info. Systems |
02-03E |
Credit Facility (i.e., loans to entity by Party in Interest/banks) |
PTE 00-22 Bankers Trust |
02-02E |
Sale by Plan of Two Limited Partnership Interests to Plan Sponsor |
PTE 99-18 State Bankshares |
02-01E |
Sale of Real Property by Plan to Party in Interest Union |
PTE 01-18 UAM Fund Services |
Final Authorization Number |
Description of Transaction |
Substantially Similar Transactions |
---|---|---|
01-50E |
Sale of stock by IRA's |
PTE 98-59 Albright et al IRAs |
01-49E |
Sale of stock by IRA's |
PTE 98-59 Albright et al IRAs |
01-48E |
Sale by Plan of Real Property |
PTE 98-05 Robert Herzog PSP |
01-47E |
Sale of Stock held by Plan to IRA Owner |
PTE 99-05 Brune, Glowacki et al |
01-46E |
Sale of Stock held by Plan to IRA Owner |
PTE 99-05 Brune, Glowacki et al |
01-45E |
Sale of Stock held by Plan to IRA Owner |
PTE 99-05 Brune, Glowacki et al |
01-44E |
Sale of Stock held by Plan to IRA Owner |
PTE 99-05 Brune, Glowacki et al |
01-43E |
Sale of Stock held by Plan to IRA Owner |
PTE 99-05 Brune, Glowacki et al |
01-42E |
Sale of Stock held by Plan to IRA Owner |
PTE 99-05 Brune, Glowacki et al |
01-41E |
Sale of Stock held by Plan to IRA Owner |
PTE 99-05 Brune, Glowacki et al |
01-40E |
Sale of Stock held by Plan to IRA Owner |
PTE 99-05 Brune, Glowacki et al |
01-39E |
Sale of Stock held by Plan to IRA Owner |
PTE 99-05 Brune, Glowacki et al |
01-38E |
Sale of Stock held by Plan to IRA Owner |
PTE 99-05 Brune, Glowacki et al |
01-37E |
Sale of Stock held by Plan to IRA Owner |
PTE 99-05 Brune, Glowacki et al |
01-36E |
Sale by Plan of Other Securities |
PTE 99-28 Gaetano Lombardo |
01-35E |
Purchases by Index Funds plan assets of stock issued by Brinson or an Affiliate |
PTE 00-59 Deutsche Bank |
01-34E |
Sale by Plan of Other Securities |
PTE 99-10 GUS Plan |
01-33E |
Sale by Plan of Other Securities |
PTE 98-38 Roark Young et al |
01-32E |
Sale by Plan of Other Securities |
PTE 98-38 Roark Young et al |
01-31E |
Sale by Plan of Other Securities |
PTE 98-38 Roark Young et al |
01-30E |
Sale by Plan of Other Securities |
PTE 98-38 Roark Young et al |
01-29E |
Sale by Plan of Other Securities |
PTE 98-38 Roark Young et al |
01-28E |
Sale by Plan of Other Securities |
PTE 98-38 Roark Young et al |
01-27E |
Sale by Plan of Other Securities |
PTE 98-38 Roark Young et al |
01-26E |
Sale by Plan of Other Securities |
PTE 98-38 Roark Young et al |
01-25E |
Asset-backed and mortgaged-backed pass-through securities |
PTE 00-55 Countrywide Securities |
01-24E |
Purchase securities in an underwriting managed by an affiliate |
PTE 00-25 Morgan Guaranty |
01-23E |
Sale by Plan of Other Assets |
PTE 98-59 Albright et al IRAs |
01-22E |
Sale by Plan of Other Assets |
PTE 98-59 Albright et al IRAs |
01-21E |
Sale by Plan of Other Assets |
PTE 98-59 Albright et al IRAs |
01-20E |
Purchase and holding of debt securities by employee benefit plans |
PTE 01-11 Citigroup & Salomon |
01-19E |
Purchase by Plan of Other Securities - PTCE 75-1 underwritings mgr |
PTE 00-25 Morgan Guaranty |
01-18E |
Sale out by Plan of limited partnership interests |
PTE 96-86 Acme 401K |
01-17E |
Captive Reinsurance |
PTE 96-95 Zions Bancorporation |
01-16E |
Sale of real estate by Plan to a party in interest |
PTE 00-20 Taylor M. Cole IRA |
01-15E |
Receipt of fees from mutual funds |
PTE 97-47 AmSouth Bk Alabama |
01-14E |
Sale by holdings of common stock & warrants issued by a C Corp that is converting to an S Corp |
PTE 98-38 Roark, Young et al |
01-13E |
Sale by holdings of common stock & warrants issued by a C Corp that is converting to an S Corp |
PTE 98-38 Roark, Young et al |
01-12E |
Sale by holdings of common stock & warrants issued by a C Corp that is converting to an S Corp |
PTE 98-38 Roark, Young et al |
01-11E |
Sale by holdings of common stock & warrants issued by a C Corp that is converting to an S Corp |
PTE 98-38 Roark, Young et al |
01-10E |
Sale by holdings of common stock & warrants issued by a C Corp that is converting to an S Corp |
PTE 98-38 Roark, Young et al |
01-09E |
Sale by holdings of common stock & warrants issued by a C Corp that is converting to an S Corp |
PTE 98-38 Roark, Young et al |
01-08E |
Sale by holdings of common stock & warrants issued by a C Corp that is converting to an S Corp |
PTE 98-38 Roark, Young et al |
01-07E |
Sale by holdings of common stock & warrants issued by a C Corp that is converting to an S Corp |
PTE 98-38 Roark, Young et al |
01-06E |
Purchase by Plan of real property from the Union in a one-time transaction for cash |
PTE 98-12 Hawaii Laborers’ |
01-05E |
Sale of shares of stock one-time sale for cash from the Plan to a Party in Interest |
PTE 96-32 Coin Acceptors Inc |
01-04E |
Sale by Plan of real property |
PTE 97-30 Plumbers LU 27 |
01-03E |
Sale by Plan of real property |
PTE 98-37 McClain’s RV Inc |
01-02E |
QPAM where Affiliate has been convicted of a felony |
PTE 97-10 PanAgora Asset Mgmt |
01-01E |
Sale by Plan of real property |
PTE 00-20 Taylor M. Cole IRA |
Final Authorization Number |
Description of Transaction |
Substantially Similar Transactions |
---|---|---|
00-33E |
Sale by Plan of partnership interests |
PTE 00-04 TMI System Design |
00-32E |
Sale by Plan of partnership interests |
PTE 99-18 State Bankshares Inc |
00-31E |
Sale by Plan of other securities |
PTE 99-05 Brune Glowacki et al |
00-30E |
QPAM where Affiliate has been convicted of a felony |
PTE 97-13 GE Capital Investment |
00-29E |
Sale by Plan of real property |
PTE 99-35 H.H. Borland Inc PSP |
00-28E |
Securities Transactions described in PTE 75-1 and PTE 81-6 between Plan and certain foreign broker-dealers |
PTE 99-04 Salomon Smith Barney |
00-27E |
Sale by Plan of other securities |
PTE 99-04 Salomon Smith Barney |
00-26E |
Sale by Plan of other securities |
PTE 99-28 Gaetano Lombardo |
00-25E |
Sale by Plan of Real Property |
PTE 99-35 H.H. Borland Inc PSP |
00-24E |
Sale by Plan of real property |
PTE 98-37 McClain’s RV Inc |
00-23E |
Sale by Plan of other securities |
PTE 97-44 1st Source Bank |
00-22E |
Sale by Plan of 3rd party notes |
PTE 96-15 Life Insurance |
00-21E |
Purchase by Plan of employer securities |
PTE 96-05 J.H. Heafner Co |
00-20E |
Securities Transactions described in PTE 75-1 and PTE 81-6 between Plan and certain foreign broker-dealers |
PTE 98-62 Barclays Bank |
00-19E |
Purchase by plan of asset-backed securities representing a pool of credit card receivables |
PTE 98-13 MBNA America Bank |
00-18E |
Lending of Securities to Affiliates of the Lending Agent |
PTE 98-32 Union Bk Switzerland |
00-17E |
Sale by the Plan of certain unimproved real property to a Party in Interest |
PTE 98-30 Jack Mayesh Florist |
00-16E |
Sale by Plan of Real Property |
PTE 98-29 Knoxville Surg Group |
00-15E |
Sale by the Plan of real property to a Party in Interest |
PTE 95-11 Hospital Supplies |
00-14E |
Sale of the Plan’s mortgage portfolio to a Party in Interest |
PTE 97-65 Valley Forge |
00-13E |
Sale by Plan of Real Property |
PTE 99-35 H.H. Borland Inc PSP |
00-12E |
Sale by the Plan of real property to a Party in Interest |
PTE 96-78 Zerhusen & Ghazi MD |
00-11E |
Sale by Plan of Real Property |
PTE 95-88 Donald D Busker IRA |
00-10E |
Sale by Plan of 3rd party notes |
PTE 97-65 Valley Forge |
00-09E |
Sale by Plan of Real Property to a Party in Interest |
PTE 97-65 Valley Forge |
00-08E |
Sale by Plan of Real Property to a Party in Interest |
PTE 96-65 Bill Ussery Motors |
00-07E |
Sale by Plan of Real Property to a Party in Interest |
PTE 96-43 Pierre W. Mornell MD |
00-06E |
Sale by Plan of Employer Securities |
PTE 96-29 Floral Glass & Mirror |
00-05E |
Purchase by plan of asset-backed securities representing a pool of credit card receivables |
PTE 98-13 MBNA America Bank |
00-04E |
Sale by Plan of Real Property |
PTE 98-37 McClain’s RV 401k |
00-03E |
Sale by Plan of Real Property |
PTE 98-37 McClain’s RV 401k |
00-02E |
Sale of Plan interest in a parcel of unimproved real property to the Plan sponsor |
PTE 96-93 Beall Corp |
00-01E |
Loan to the Plan by Plan Sponsor |
PTE 95-13 Alucobond Tech. |
Final Authorization Number |
Description of Transaction |
Substantially Similar Transactions |
---|---|---|
99-32E |
Sale of unimproved real property by the Plan to a Party in Interest |
PTE 96-78 Zerhusen & Ghazi MD |
99-31E |
Sale of asset-backed securities from Party in Interest to Plan |
PTE 98-08 PNC Capital Markets |
99-30E |
Sale of shares of closely-held common stock by IRAs to disqualified persons |
PTE 99-06 IRAs for Hummel, et al |
99-29E |
Sale by the Plan of unimproved property to a Party in Interest |
PTE 96-78 Zerhusen & Ghazi MD |
99-28E |
Plan fiduciary rebates to the plan the investment advisory fee the fiduciary receives from mutual funds in which the plan invests |
PTE 97-16 US Trust Co of NY |
99-27E |
Purchase by plan of asset-backed securities representing a pool of credit card receivables |
PTE 98-13 MBNA America Bank |
99-26E |
Purchase of shares of a closely-held bank holding company from IRAs by the owner of each IRA |
PTE 97-45 Ronald L. Chez IRA |
99-25E |
Provision of Services |
PTE 97-47 AmSouth Bk Alabama |
99-24E |
Sale by Plan of real property to a Party in Interest |
PTE 98-19 Thornton, Hegg, Reif |
99-23E |
Sale by the Plan of certain limited partnership interests to the Plan sponsor |
PTE 97-29 Washington National |
99-22E |
A reinsurance transaction by the Plan sponsor and a Party in Interest to provide life insurance benefits to participants in the Plan |
PTE 96-95 Zions Bancorproation |
99-21E |
Securities Transactions described in PTE 75-1 and PTE 81-6 between Plan and certain foreign broker-dealers |
PTE 99-04 Salomon Smith Barney |
99-20E |
Sale of certain shares of stock by the Plan to a disqualified person with respect to the Plan |
PTE 95-21 Wadco, Inc |
99-19E |
A Party in Interest purchases property from the Plan |
PTE 97-30 Joint Appr. Plumbers |
99-18E |
Interest free loan from the employer to the Plan |
PTE 99-19 vonRoll isola Sav Plan |
99-17E |
Sale by the Plan to the Plan sponsor of improved real property |
PTE 97-36 Operating Engineers |
99-16E |
Plan sponsor purchases improved real property from the Plan |
PTE 98-29 Knoxville Surgical |
99-15E |
Sale of interest in promissory notes by plan to a Party in Interest |
PTE 98-50 John V. Vick |
99-14E |
Sale by the Plan of certain residential mortgages to a Party in Interest |
PTE 97-65 Valley Forge |
99-13E |
Sale of certain land trust by the Plan to the sponsor |
PTE 96-06 WLI Industries |
99-12E |
Sale of real property from an individual accounts in Plan to a Party in Interest |
PTE 96-78 Zerhusen & Ghazi MD |
99-11E |
Purchase by plan of asset-backed securities representing a pool of credit card receivables |
PTE 98-13 MBNA America Bank |
99-10E |
Plan sells to a Party in Interest shares of a limited partnership |
PTE 96-25 Zausner Foods Corp |
99-09E |
Sale of improved real property by the Plan to a Party in Interest |
PTE 94-65 Long Mfg. N.C. Inc |
99-08E |
Plan sells fee title in commercial real estate to a Party in Interest |
PTE 98-29 Knoxville Surgical |
99-07E |
Plan sells annuity contracts to plan sponsor |
PTE 94-46 Alberici Companies |
99-06E |
Plan lease of improved real property to a Party in Interest |
PTE 98-18 Consolidated Assoc |
99-05E |
Sale of real estate investments by the Plan to a Party in Interest |
PTE 94-48 Laney & Duke |
99-04E |
Sale of real estate investments by the Plan to a Party in Interest |
PTE 97-65 Valley Forge |
99-03E |
Sale of real estate investments by the Plan to a Party in Interest |
PTE 94-48 Laney & Duke |
99-02E |
Sale by Plan, individual accounts, of real property to a Party in Interest |
PTE 96-78 Zerhusen & Ghazi MD |
99-01E |
Lending of Securities to Affiliates of the Lending Agent |
PTE 98-24 Goldman Sachs |
Final Authorization Number |
Description of Transaction |
Substantially Similar Transactions |
---|---|---|
98-31E |
Sale of unimproved real property by the Plan to Parties in Interest |
PTE 95-12 Clarence E. Coker Jr |
98-30E |
Sale of a limited partnership interest by a Plan to Parties in Interest |
PTE 95-23 Terry Segal PC |
98-29E |
Sale of a limited partnership interest by a Plan to a Party in Interest |
PTE 95-23 Terry Segal PC |
98-28E |
Sale of two mortgage notes by the Plan to a Party in Interest |
PTE 97-65 Valley Forge |
98-27E |
Sale by the Plan of Limited Partnership interest to a Party in Interest |
PTE 95-23 Terry Segal P.C. |
98-26E |
Sale of improved real property by the plan to a Party in Interest |
PTE 95-12 Clarence E. Coker Jr |
98-25E |
Plan sponsor purchases unimproved property by the Plan |
PTE 95-11 Hospital Supplies |
98-24E |
Purchase by plan of asset-backed securities representing a pool of credit card receivables |
PTE 98-13 MBNA America Bank |
98-23E |
Sale by Plan of Real Property |
PTE 95-88 Donald D Busker IRA |
98-22E |
Securities Transactions described in PTE 75-1 and PTE 81-6 between Plan and certain foreign broker-dealers |
PTE 97-08 Morgan Stanley |
98-21E |
Plan sponsor purchase of land trusts from plan |
PTE 96-16 LEGENT Ret Plan |
98-20E |
Plan loan to a disqualified party |
PTE 97-66 PS Richard Wickerham |
98-19E |
Sale of unimproved real property between the Plan and a Party in Interest |
PTE 98-03 Robert A. Doneff |
98-18E |
Sale by the Plan of an interest in a limited partnership to the plan sponsor |
PTE 97-39 Gart Brothers Sporting |
98-17E |
Sale of improved real property from the Plan to a Party in Interest |
PTE 96-18 H.E.B. Investment |
98-16E |
Sale of real property from the plan to a Party in Interest |
PTE 96-71 Normike Industries |
98-15E |
The holding or exercise by the Plans of certain warrants for the purchase of a stock of a Party in Interest |
PTE 96-07 Ventura County |
98-14E |
Sale of a parcel of qualifying employer real property from the Plan to a Party in Interest |
PTE 96-51 Puckett Machinery Co |
98-13E |
Sale of real improved property from the Plan to a Party in Interest |
PTE 93-24 Welborn Clinic |
98-12E |
Purchase of three parcels of unimproved real property held by the plan by a Party in Interest |
PTE 95-91 Leavitt Group PSP |
98-11E |
Plan loan from an individual account to a Party in Interest |
PTE 97-19 APA, Inc |
98-10E |
Sale of Real Property by Plan to Party in Interest |
PTE 95-82 PMS |
98-09E |
Securities Transactions described in PTE 75-1 and PTE 81-6 between Plan and certain foreign broker-dealers |
PTE 97-08 Morgan Stanley |
98-08E |
Sale of asset-backed securities from Party in Interest to Plan |
PTE 97-05 Southtrust |
98-07E |
Lending of Securities to Affiliates of the Lending Agent |
PTE 97-63 State Street |
98-06E |
Purchase of Partnership Interests from Plan by Party in Interest |
PTE 95-23 Segal |
98-05E |
Sale of Real Property by Plan to Plan Sponsor |
PTE 95-23 Segal |
98-04E |
Lease of Real Property by Plan to Plan Sponsor |
PTE 96-26 Jack, Lyon & Jones PS |
98-03E |
Sale of Real Property by Plan to Plan Sponsor |
PTE 95-11 Hosp. Supplies |
98-02E |
Purchase of Partnership Interest from Plan by Party in Interest |
PTE 96-16 Legent |
98-01E |
Purchase of GAC’s by Plan Sponsor |
PTE 97-14 Givens |
Final Authorization Number |
Description of Transaction |
Substantially Similar Transactions |
---|---|---|
97-32E |
Sale of Mortgages by Plan to Sponsor |
PTE 93-23 ELK |
97-31E |
Sale of Mortgages by Plan to Sponsor |
PTE 93-23 ELK |
97-30E |
Purchase of Plan’s GIC’s by Sponsor |
PTE 95-07 Lucky Electric |
97-29E |
Loan by Plan Sponsor to Plan |
PTE 95-78 Keycorp |
97-28E |
Sale of Real Property by Plan to Party in Interest |
PTE 95-92 Central Freight |
97-27E |
Loan to Plan by Party in Interest resulting from the liquidation of Plan’s GIC |
PTE 94-78 Union Electric |
97-26E |
Sale of Mortgages by Plan to Plan Sponsor |
PTE 96-15 LSW |
97-25E |
Lease of Real Property by Plan to Party in Interest |
PTE 97-25 Hughes |
97-24E |
Sale of Stock held by Plan to Plan Participant |
PTE 95-101 Elkin |
97-23E |
Purchase of Real Property from Plan by Plan Sponsor |
PTE 94-48 Laney/Duke |
97-22E |
Purchase of Stock held by Plan by Participants/Fiduciaries |
PTE 96-27 Meisenbach |
97-21E |
Sale of asset-backed securities from Party in Interest to Plan |
PTE 94-84 Brown & Sons |
97-20E |
Purchase of GAC by Sponsor from Plan |
PTE 95-07 Lucky Electric |
97-19E |
Purchase of Real Property by Plan Participant from Plan |
PTE 95-11 Hosp. Supplies |
97-18E |
Purchase of GAC by Sponsor from Plan |
PTE 95-07 Lucky Electric |
97-17E |
Sale of Real Property by Plan to the Plan’s Sponsor, and Certain Shareholders and Officers |
PTE 94-14 Randall Smith |
97-16E |
Sale by Plan of Real Property |
PTE 96-93 Beall Corp PSP |
97-15E |
Sale of Real Property by Plan to Parties in Interest |
PTE 96-93 Beall Corp PSP |
97-14E |
Sale of Real Property by Plan to Plan Sponsor |
PTE 93-28 Rectifier |
97-13E |
Sale of Real Property by Plan to Plan Sponsor Affiliate |
PTE 94-65 Long Mftg. |
97-12E |
Sale of Real Property by Plan to Plan Sponsor Affiliate |
PTE 94-65 Long Mftg. |
97-11E |
Sale of Real Property by Plan to Plan Sponsor Affiliate |
PTE 94-65 Long Mftg. |
97-10E |
Sale of Real Property by Plan to Plan Sponsor Affiliate |
PTE 94-65 Long Mftg. |
97-09E |
Sale of Mortgage Loans by Plan to Plan Sponsor |
PTE 93-64 Heritage Pullman |
97-08E |
Sale of Real Property by Plan to Plan Trustees |
PTE 96-43 Mornell |
97-07E |
Sale of Real Property by Plan to Plan Participant |
PTE 96-43 Mornell |
97-06E |
Reinsurance of Insurance Policy by Affiliate of Sponsor |
PTE 96-49 First Security |
97-05E |
Sale of GAC by Plan to Sponsor |
PTE 95-07 Lucky Electric |
97-04E |
Sale of Partnership Interest in Real Property by Plan to Plan Sponsor |
PTE 96-06 WLI Industries |
97-03E |
Sale of asset-backed securities by Party in Interest to Plans |
PTE 94-84 Brown & Sons |
97-02E |
Sale of asset-backed securities by Party in Interest to Plans |
PTE 94-84 Brown & Sons |
97-01E |
Issuance of Stock Warrants by Plan Sponsor to Plan Participants |
PTE 96-19 Rose’s Stores |