Below is a historical list of exemptions and EXPRO authorizations. They may not reflect current law, 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.
Please be advised that the information in your exemption application, and any information submitted to the Department in support of your exemption application (including any information submitted to the Department in support of your exemption application prior to the Department’s receipt of your exemption application), will be disclosed to the public upon request. You are responsible for ensuring that your exemption application does not contain information that you do not want disclosed to the public. As stated in 29 CFR 2570.33(c), the Department will not process or consider an exemption application or a supporting document containing a request intended to restrict the Department’s ability to disclose information to the public. Consequently, by participating in the exemption application process, you are consenting to the public disclosure of your exemption application and any information submitted to the Department in support of your application. The Department reserves the right to revoke an exemption if the record upon which the exemption is based contains information that may not be disclosed to the public.
For additional cases and subject matter categories, refer to EXPRO Authorizations under PTE 96-62.
- PTE 2018-01 Health Management Associates, Inc. Retirement Savings Plan and Mooresville Retirement Savings Plan
- PTE 2010-04 JPMorgan Chase Bank NA
- PTE 2009-11 Amendment to PTE 1999-34 involving the Chase Manhattan Bank/JPMorgan Chase Bank National Association
- PTE 2008-13 Banc One Investment Advisors Corp. and JPMorgan Investment Management Inc.
- PTE 2008-10 Merrill Lynch and Co. Inc. and BlackRock Inc.
- PTE 2002-36 The Banc Funds Co. LLC
- PTE 2000-37 The Banc Funds Co. LLC
- PTE 1998-15 Massachusetts Mutual Life Insurance Co.
- PTE 1997-15 The Chicago Corp.
See also Provision of Services to Plans | Receipt of Fees or Benefits by Parties in Interest
- PTE 2015-17 Frank Russell Company and Affiliates
- PTE 2012-11 Delaware Charter Guarantee & Trust Co., d\b\a Principal Trust Federal Register :: Proposed Exemption for Certain Prohibited Transaction Restrictions Pacific Investment Management Company LLC, Newport Beach, Californiaqpam
- Co.
- PTE 2010-33 Citigroup Global Markets, Inc. and its affiliates
- PTE 2009-12 Grant of Individual Exemption to replace PTE 2000-45 involving Citigroup Global Markets Inc. formerly Salomon Smith Barney Inc.
- PTE 2001-15 Ibbotson Associates Inc.
- PTE 2001-14 Keystone Brokerage Inc.
- PTE 2000-46 Bank of Oklahoma
- PTE 2000-45 Grant of Individual Exemption to amend and replace PTE 1999-15 involving Salomon Smith Barney Inc.
- PTE 2000-39 Standard and Poors and Standard and Poors Investment Advisory Services LLC
- PTE 1999-15 Salomon Smith Barney Inc.
- PTE 1997-60 TCW Group Inc. et al
- PTE 1997-12 Wells Fargo Bank NA
- PTE 1996-59 PaineWebber Inc.
- PTE 2013-08 Amendment to PTE 2007-05, Involving Prudential Securities Incorporated, et al., To Amend the Definition of "Rating Agency"
- PTE 2009-31 Amendment to PTE 1996-22 as amended by PTE 1997-34, PTE 2000-58, PTE 2002-41 and PTE 2007-05 involving the Wachovia Corp. and its affiliates the Successor of First Union Corp. and PTE 2002-19 involving JPMorgan Chase and Co. and its affiliates
- PTE 2009-16 Amendment to PTE 1990-29 as amended by PTE 1997-34 and PTE 2007-05 PTE 1990-29 involving Merrill Lynch Pierce Fenner and Smith Inc. the Principal Subsidiary of Merrill Lynch and Co. Inc. and its affiliates and to PTE 2002-19 as amended by PTE 2007-05 involving JPMorgan Chase and Co. and its affiliates
- PTE 2008-08 Amendment to PTE 1993-31 et al
- PTE 2007-05 Bear Stearns and Co. Inc. Prudential Securities Inc. et al
- PTE 2006-18 Amendment to PTE 2001-32 involving Development Co. Funding Corp.
- PTE 2006-07 Harris Nesbitt Corp. and its affiliates
- PTE 2002-41 Bear Stearns and Co. Inc. Prudential Securities Inc. et al
- PTE 2002-19 JPMorgan Chase and Co. and its affiliates
- PTE 2001-32 Development Co. Funding Corp.
- PTE 2000-58 Amendment to PTE 1997-34 Morgan Stanley and Co.
- PTE 2000-55 Countrywide Securities Corp.
- PTE 2000-41 First Tennessee National Corp.
- PTE 2000-33 McDonald Investments Inc.
- PTE 2000-19 BOSC Inc.
- PTE 1999-39 Fleet Bank National Association
- PTE 1999-11 Mellon Financial Markets Inc.
- PTE 1998-56 Toyota Motor Credit Corp.
- PTE 1998-14 Citibank (South Dakota) NA et al
- PTE 1998-13 MBNA America Bank National Association
- PTE 1998-11 National Rural Utilities Cooperative Finance Corp.
- PTE 1998-08 PNC Capital Markets Inc.
- PTE 1997-34 Amendment to PTE 1990-30 involving Bear Stearns and Co. Inc. PTE 1990-32 involving Prudential Securities Inc. et al
- PTE 1997-28 Norwest Investment Services Inc.
- PTE 1997-05 South Trust Securities Inc.
- PTE 1996-94 First Chicago NDB Corp.
- PTE 1996-92 BA Securities Inc.
- PTE 1996-84 HSBC Securities Inc.
- PTE 1996-22 First Union Corp.
- PTE 1996-12 World Omni Financial Corp.
- PTE 1996-11 ContiFinancial Services Corp.
- PTE 2023-19 Mitsubishi UJF Trust and Banking Corporation
- PTE 2023-11 Midlands Management Corporation 401(k) Plan (the Plan)
- PTE 2023-10 BlueCross BlueShield of Tennessee (BCBS Tennessee)
- PTE 2023-09 Blue Cross and Blue Shield of Nebraska, Inc. (BCBS Nebraska)
- PTE 2023-08 Blue Cross and Blue Shield of Mississippi, a Mutual Insurance
- PTE 2023-07 BCS Financial Corporation (BCS)
- PTE 2023-06 Hawaii Medical Service Association (HMSA)
- PTE 2023-05 Blue Cross Blue Shield of Vermont (BCBS VT)
- PTE 2023-04 Blue Cross Blue Shield of Arizona Inc. (BCBS AZ)
- PTE 2023-03 Blue Cross Blue Shield Association (BCBSA)
- PTE 2011-14 Krispy Kreme Doughnut Corp. Retirement Savings Plan, et al
- PTE 2009-33 Cotter Merchandise Storage Co. Defined Benefit Pension Plan
- PTE 2005-03 National Electrical Benefit Fund
- PTE 2004-15 Employees Retirement Plan of Storytown USA Inc. and Participating affiliated Companies
- PTE 2004-02 Bank of America NA
- PTE 2004-01 United States Steel and Carnegie Pension Fund
- PTE 1999-31 The Unaka Co. Inc. Employees Profit Sharing Plan and Trust
- PTE 2014-04 Northwestern Mutual Investment Services, Inc. and its Affiliates
- PTE 2013-10 UBS AG and its current and future affiliates and subsidiaries (UB)
- PTE 2012-14 JPMorgan Chase & Co. and its current and future affiliates and subsidiaries
- PTE 2011-18 Northern Trust Corp.
- PTE 2011-07 Robert W. Baird and Co. Inc. and its current & future affiliates
- PTE 2011-06; Wachovia Corp. and its current & future affiliates or successors
- PTE 2011-05 TD Ameritrade, Inc.
- PTE 2011-02 Morgan Stanley and Co. Inc.
- PTE 2010-24 Citizens Bank Wealth Management, NA
- PTE 2010-20 Citigroup and its affiliates
- PTE 2010-14 UBS Financial Services Inc. and its affiliates
- PTE 2010-10 Deutsche Bank AG and its affiliates
- PTE 2010-05 Goldman Sachs and Co. and its affiliates
- PTE 2009-21 The Bank of New York Mellon Corp. and its affiliates
- PTE 2009-20 Morgan Stanley and Co. Inc.
- PTE 2009-18 Robert W Baird and Co. Inc.
- PTE 2009-09 Northwestern Mutual Investment Services LLC
- PTE 2009-08 Raymond James and Associates Inc.
- PTE 2009-07 Robert W Baird and Co. Inc.
- PTE 2009-06 Citigroup Inc.
See also Pooled Funds - Banks
- PTE 2022-03 PTE 2022-03; Comcast Corporation (captive reinsurance)
- PTE 2022-02 Phillips 66 Company (Phillips 66) (captive reinsurance)
- PTE 2015-10 Eli Lily and Company and Elco Insurance Company Limited (captive reinsurance)
- PTE 2014-03 Intel Corporation (captive reinsurance)
- PTE 2013-06 The Coca-Cola Company and Red Re, Inc. (captive reinsurance)
- PTE 2012-20 Sharp HealthCare and Dental Plan (captive insurance)
- PTE 2012-03 R+L Carriers Shared Services, LLC (captive reinsurance)
- PTE 2011-16 Verizon Communications, Inc. et al (captive reinsurance)
- PTE 2010-15 Subaru of America Inc. (captive reinsurance)
- PTE 2010-11 The Coca Cola Co. (captive reinsurance)
- PTE 2004-12 Svenska Cellulosa Aktiebolaget SCA (captive reinsurance)
- PTE 2003-07 Archer Daniels Midland Co. (captive reinsurance)
- PTE 2001-26 ACE Business Travel Accident Plan (captive reinsurance)
- PTE 2000-48 Columbia Energy Group (captive reinsurance)
- PTE 1997-61 EBP Life Insurance Co. et al (captive reinsurance)
- PTE 1996-95 Zions Bancorporation and affiliated Companies (captive reinsurance)
- PTE 1996-49 First Security Group Life Insurance Plan (captive reinsurance)
See also Asset Allocation Advice/Investment Allocation Advice | In Kind Purchases or Transfers | In Kind Redemptions | INHAM-Type Transactions | QPAM-Type Transactions | Pooled Funds-Mutual Funds | Securities Lending-Trio Type Arrangements | Umbrella Exemption | Underwriting Syndicates
- PTE 2023-21 Morgan Stanley & Co. LLC, and Its Current and Future Affiliates and Subsidiaries
- PTE 2015-17 Frank Russell Company and Affiliates (PTE 1977-04)
- PTE 2015-09 Robert W. Baird & Co. Inc. (PTE 1977-04)
- PTE 2012-20 Sharp HealthCare and Dental Plan (PTE 1979-41)
- PTE 2008-14 Fidelity Brokerage Services LLC and its affiliates (PTE 1993-33)
- PTE 2008-02 Citigroup Inc. (PTE 1993-33)
- PTE 2008-01 Barclays Global Investors NA et al (PTE 1977-04)
- PTE 2006-13 The Young Mens Christian Association Retirement Fund Retirement Plan (PTE 1976-01)
- PTE 2006-10 Massachusetts Mutual Life Insurance Co. (PTE 1980-26)
- PTE 2002-50 Child Health Corp. of America (PTE 1984-24)
- PTE 2001-20 THS Profit Sharing Plan (PTE 1992-05)
- PTE 2001-16 New York Life Insurance Co. (PTE 1984-24)
- PTE 2000-12 First American Capital Management Inc. (PTE 1986-128)
- PTE 1997-31 Howes Leather Co. Inc. Employee Stock Ownership Plan (PTE 1992-06)
- PTE 1996-85 Chase Manhattan Bank NA (PTE 1975-01 and PTE 1984-14)
- PTE 2003-38 Aetna Life Insurance Co. and UBS Realty Investors LLC
- PTE 1998-28 Massachusetts Mutual Life Insurance Co.
- PTE 1997-56 UNUM Life Insurance Co. of America
- PTE 1999-22 Operating Engineers Labor Union 324 Journeyman and Apprentice Training Fund
- PTE 1997-07 Pikeville National Bank et al
See also In Kind Contributions to Plans
- PTE 2012-13 Sammons Enterprises, Inc. Employee Stock Ownership Plan
- PTE 1999-39 Fleet Bank (RI) National Association
- PTE 1998-14 Citibank (South Dakota) NA et al
- PTE 1998-13 MBNA America Bank National Association
- PTE 2023-19 Mitsubishi UJF Trust and Banking Corporation
- PTE 2004-02 Bank of America NA
- PTE 2002-55 Fidelity Management Trust Co. and its affiliates
- PTE 2002-52 Bank of America
- PTE 2002-01 Key Trust Co. of Ohio
- PTE 2001-35 Riggs Bank NA
- PTE 2001-21 Bank of America
- PTE 2000-22 Bankers Trust Co.
- PTE 2000-10 Bankers Trust Co.
- PTE 1999-47 Bankers Trust Co.
- PTE 1999-08 Bankers Trust Co.
- PTE 1997-40 BP America Inc. Retirement Trust et al
- PTE 1997-18 Chase Manhattan Bank NA
- PTE 1996-08 Industrial Bank of Japan Ltd.
- PTE 2013-04 Silchester International Investors LLP
- PTE 2008-10 Merrill Lynch and Co. Inc. and BlackRock Inc.
- PTE 2000-12 First American Capital Management Inc.
- PTE 2004-14 Les Olson Co. Inc. Profit Sharing Plan
- PTE 2003-21 Arizona Machinery Group Inc.
- PTE 2000-60 John L Rust Co. Profit Sharing Plan
- PTE 2011-08 Security Benefit Mutual Holding Co. and Security Benefit Life Insurance Co.
- PTE 2007-08 Fidelity Mutual Life Insurance Co.
- PTE 2005-08 Mutual Service Life Insurance Co.
- PTE 2002-42 Provident Mutual Life Insurance Co.
- PTE 2002-09 Prudential Insurance Co. of America
- PTE 2001-44 Anthem Insurance Companies Inc.
- PTE 2001-36 Principal Mutual Holding Co.
- PTE 2001-22 Phoenix Home Life Mutual Insurance Co.
- PTE 2001-17 Indianapolis Life Insurance Co. et al
- PTE 2000-57 Sun Life Insurance Co.
- PTE 2000-53 American Mutual Holding Co.
- PTE 2000-38 Standard Insurance Co.
- PTE 2000-36 Canada Life Assurance Co.
- PTE 2000-34 The Fidelity Mutual Life Insurance Co.
- PTE 2000-11 Metropolitan Life Insurance Co.
- PTE 2000-06 John Hancock Mutual Life Insurance Co.
- PTE 1999-41 The Manufacturers Life Insurance Co.
- PTE 1999-14 MONY Life Insurance Co.
- PTE 1996-87 Blue Cross and Blue Shield of Virginia
- PTE 2003-25 IBEW Local No. 1 Health and Welfare Fund and Local No. 1 Apprenticeship and Training Fund
- PTE 1999-42 Pacific Coast Roofers Pension Plan
- PTE 1997-20 Real Estate Equity Trust No. 1
- PTE 2008-01 Barclays Global Investors NA et al
- PTE 2005-13 Best Business Products Inc. Employee Stock Ownership Plan
- PTE 2004-17 Linda Ann Smith MD Profit Sharing Plan and Trust
- PTE 2004-09 Landerholm Memovich Lansverk and Whitesides PS 401(k) Profit Sharing Plan
- PTE 2003-28 Raleigh Pathology Laboratory Associates PA Profit Sharing Plan
- PTE 2002-07 Ford Motor Co.
- PTE 1999-49 Massachusetts Mutual Life Insurance Co.
- PTE 1999-46 Plumbers and Pipe Fitters National Pension Fund
- PTE 1998-22 The Fortunoff Pension Plans
- PTE 1997-58 Carl M Callaway IRA
- PTE 1996-77 Mewbourne Oil Co. Inc. Plan
- PTE 1996-42 James Flynn and Associates Ltd. Pension Plan
- PTE 2009-25 Barclays Global Investors NA et al
- PTE 2008-01 Barclays Global Investors NA et al
- PTE 2011-11 H-E-B Brand Savings and Retirement Plan et al
- PTE 2009-29 Iron Workers Local 17 Pension Fund
- PTE 2009-10 Camino Medical Group Inc. Employee Retirement Plan
- PTE 2006-14 Little Rock Diagnostic Clinic PA Profit Sharing Plan
- PTE 2006-04 The Donlar Corp. Profit Sharing Plan
- PTE 2005-14 Milan Uremovich DDS PC Profit Sharing Plan and Trust
- PTE 2004-21 Camino Medical Group Inc. Matching 401(k) Plan and the Camino Medical Group Inc. Employee Retirement Plan
- PTE 2003-30 Fifth Third Bank
- PTE 2002-38 Unifi Inc. Retirement Savings Plan
- PTE 2002-23 Cargill Inc. and Associated Companies Salaried Employees Pension Plan et al
- PTE 2002-15 Rockford Corp. 401(k) Retirement Savings Plan
- PTE 2001-31 Wagner Doxey and Co. Money Purchase Plan
- PTE 2001-02 Care Services Employees 401(k) Profit Sharing Plan and Trust
- PTE 2000-07 Cassanos Inc. 401(k) Plan and Trust
- PTE 1999-30 Premier Funding Group Inc. Employees Profit Sharing Plan and the Money Purchase Pension Plan for Employees of Premier Funding Group Inc.
- PTE 1999-16 Standard Bank Employees Profit Sharing Plan
- PTE 1997-53 McCroskey Feldman Cochrane and Brock PC Profit Sharing Plan and Trust
- PTE 1997-51 H Weiss and Co. Inc. Defined Benefit Pension Plan
- PTE 1997-25 Hughes Non Bargaining Retirement Plan et al
- PTE 1996-71 Normike Industries Inc. Profit Sharing Plan
- PTE 1996-55 Aircon Energy Inc. 401(k) Profit Sharing Plan
- PTE 1996-46 Jacor Communications Inc. Retirement Plan
- PTE 1996-41 The Buchanan Broadcasting Co. Inc. Profit Sharing Plan and Trust
- PTE 1996-06 WLI Industries Inc. Employees Stock Ownership Plan
- PTE 2009-10 Camino Medical Group Inc. Employee Retirement Plan
- PTE 2004-19 ARINC Inc. Retirement Income Plan
- PTE 2003-10 The JPMorgan Chase Bank
- PTE 2002-53 A Raimondo Inc. Pension Plan
- PTE 2001-01 General Motors Hourly Rate Employees Pension Plan et al
- PTE 1998-36 Collection Bureau Services Profit Sharing Plan and Trust
- PTE 1997-24 The Retirement Plan for Salaried and certain Hourly Employees of Keebler Co.
See also Loans by Plans
- PTE 2015-16 Red Wing Shoe Co Pension Plan for Hourly Employees, Red Wing Shoe Co Retirement Plan & S.B. Foot Tanning Company Employees' Pension Plan (make-whole payment and put option exercise price)
- PTE 2014-10 Family Dynamics, Inc., Pension Plan (notes)
- PTE 2014-06 AT&T Inc. (together with AT&T Inc.'s Affiliates, AT&T) (put or call options)
- PTE 2011-13 Ford Motor Company (amendment to PTE 2010-08) (benefit claim payment and note)
- PTE 2010-30 UAW General Motors Company Retiree Medical Benefits Plan et al (note and senior corporate debt)
- PTE 2010-22 CUNA Mutual Pension Plan for Represented Employees et al (top up payments)
- PTE 2010-12 Chrysler LLC (note)
- PTE 2010-08 Ford Motor Co. (benefit claim payment)
- PTE 2006-13 The Young Men's Christian Association Retirement Fund Retirement Plan (employer contributions)
- PTE 2006-01 Edward D Jones and Co. LP (free credit balances)
- PTE 2005-04 Wheeling Pittsburgh Corp. and the Wheeling Pittsburgh Steel Corp.
- PTE 2003-32 Sorenson Broadcasting Employee Stock Ownership Plan and Trust (true-up)
- PTE 2003-17 DuPont Capital Management Corp. (bonds)
- PTE 2003-16 DuPont Capital Management Corp. (bonds)
- PTE 2003-15 DuPont Capital Management Corp. (bonds)
- PTE 2001-42 Columbia Savings Plan (zero coupon bond portion of SAILS)
- PTE 2001-30 JPMorgan Chase and Co. and its affiliates (debt securities)
- PTE 2001-11 Salomon Smith Barney et al (debt securities)
- PTE 2000-68 The Masters Mates and Pilots Pension Plan and IRA Plan (guarantee)
- PTE 2000-63 Merrill Lynch and Co. Inc. (Market Index Target-Term Securities)
- PTE 1998-25 SmartRetirement The OLDE 401(k) Plan (12b-1 fees)
- PTE 1996-40 Herzog Heine Geduld Inc. (subordinated notes)
See also Loans to Plans
- PTE 2011-22 Russell Trust Company (notes and guarantee)
- PTE 2011-13 Ford Motor Company (amendment to PTE 2010-08) (benefit claim payment)
- PTE 2010-08 Ford Motor Co. (benefit claim payment)
- PTE 2009-28 Ford Motor Co. and its affiliates (mitigation payments and true-ups)
- PTE 2009-03 General Motors Corp. and its wholly owned subsidiaries (mitigation payments and true-ups)
- PTE 2006-10 Massachusetts Mutual Life Insurance Co. (Market Rate Advances)
- PTE 2003-21 Arizona Machinery Group Inc. (guarantee of customer notes)
- PTE 2001-35 Riggs Bank NA (advances)
- PTE 2000-13 Deutsche Bank AG et al (benefit withdrawals)
- PTE 2000-05 Business Mens Assurance Co. of America (advances)
- PTE 1999-31 The Unaka Co. Inc. Employees Profit Sharing Plan and Trust (interest free, non- recourse loan)
- PTE 1997-01 Univar Corp. UniSaver Tax Savings Investment Plan (guarantees and loans)
- PTE 1996-76 Teachers Insurance and Annuity Association of America (Liquidity Units)
- PTE 1996-58 Fieldcrest Cannon Inc. Retirement Savings Plan for Salaried Employees et al (guarantee and advances)
- PTE 1996-04 Larson Distributing Co. Profit Sharing Plan (annuity accounts)
- PTE 2010-31 Deutsche Bank Asset Management (UK) Limited (DAM)
- PTE 2010-01 Deutsche Bank AG
- PTE 2003-12 Deutsche Bank AG
- PTE 2017-01 Rosetree & Company 401(k) Plan and Trust
- PTE 2011-22 Russell Trust Company
- PTE 2010-04 JPMorgan Chase Bank NA
- PTE 2005-03 National Electrical Benefit Fund
- PTE 2004-18 Carpenters Joint Training Fund of St Louis
- PTE 2004-14 Les Olson Co. Inc. Profit Sharing Plan
- PTE 2003-37 The National Electrical Benefit Fund
- PTE 2003-35 Newspaper Agency Corp. Pension Trust
- PTE 2003-26 Northwest Airlines Pension Plan for Salaried Employees et al
- PTE 2003-10 JPMorgan Chase Bank NA
- PTE 2002-18 Smart Chevrolet Co. Employees Profit Sharing Retirement Plan
- PTE 2002-08 Morgan Stanley Dean Witter and Co. Inc.
- PTE 2000-68 The Masters Mates and Pilots Pension Plan and IRA Plan
- PTE 1999-03 Sprinx Inc. Retirement Plan
- PTE 1998-44 RandJ Hoffman Inc. Profit Sharing Plan
- PTE 1998-33 Breland Investments Inc. Profit Sharing Plan
- PTE 1998-25 SmartRetirement The OLDE 401(k) Plan
- PTE 1997-66 Profit Sharing Keogh Plan of Richard D Wickersham
- PTE 1997-52 Smart Chevrolet Co. Employees Profit Sharing Retirement Plan
- PTE 1997-19 APA Inc. 401(k) Profit Sharing Plan
- PTE 1997-06 Skana Enterprises Inc. Defined Benefit Pension Plan
- PTE 1996-68 Hoechst Marion Roussel Inc. Matching Contribution Plan
- PTE 1996-58 Fieldcrest Cannon Inc. Retirement Savings Plan for Salaried Employees et al
- PTE 1996-30 Aultman Retirement Savings Plan
- PTE 2014-09 Renaissance Technologies, LLC
- PTE 2012-10 Renaissance Technologies LLC
- PTE 2010-31 Deutsche Bank Asset Management (UK) Limited (DAM)
- PTE 2010-22 CUNA Mutual Pension Plan for Represented Employees et al
- PTE 2010-09 Ivy Asset Management Corp.
- PTE 2008-03 Wellington Management Co. LLP et al
- PTE 2000-32 Triumph Capital Group Inc.
- PTE 2019-06 Tidewater Savings and Retirement Plan
- PTE 2019-05 Seventy Seven Energy Inc. Retirement & Savings Plan
- PTE 2019-04 Principal Life Insurance Company and its Affiliates
- PTE 2015-02 The Camco Financial & Subsidiaries Salary Savings Plan (warrants)
- PTE 2014-06 AT&T Inc. (together with AT&T Inc.'s Affiliates, AT&T)
- PTE 2013-02 Atlas Energy, Inc. Employee Stock Ownership Plan
- PTE 2013-03 Central Pacific Bank 401(k) Retirement and Savings Plan
- PTE 2012-19 El Paso Corporation Savings Plan (warrants)
- PTE 2012-17 TIB Financial Corp. Employee Stock Ownership Plan (stock rights)
- PTE 2012-02 First Federal Bancshares of Arkansas, Inc. (stock rights)
- PTE 2011-14 Krispy Kreme Doughnut Corp. Retirement Savings Plan, et al
- PTE 2009-14 UBS AG and its affiliates et al (entitlements and subscription rights)
- PTE 2008-15 Popular Inc. (stock rights)
- PTE 2007-18 Owens Corning Savings Plan and Owens Corning Savings and Security Plan (warrants)
- PTE 2007-17 BSC Services Corp. 401(k) Profit Sharing Plan (stock rights)
- PTE 2007-11 The Revlon Employees Savings Investment and Profit Sharing Plan (stock rights)
- PTE 2006-11 The Revlon Employees Savings Investment and Profit Sharing Plan (stock rights)
- PTE 2005-09 Liberty Media International Inc. (stock rights)
- PTE 2004-03 Lodgian Inc. 401(k) Plan and Trust Agreement (warrants)
- PTE 2002-43 Chiquita Processed Foods 401(k) Retirement Savings Plan (warrants)
- PTE 2002-29 Wyndham International Inc. Employee Savings and Retirement Plan (stock rights)
- PTE 2002-02 The Golden Retirement Savings Program and the Golden Retirement Security Program (warrants)
- PTE 2001-43 The FHP International Corp. 401(k) Plan and the FHP International Corp. PAYSOP (stock rights)
- PTE 2001-28 Retirement Plan of Dime Bancorp Inc. et al (warrants)
- PTE 2001-24 ATGI 401(k) Plan (stock rights)
- PTE 2000-09 The FINA Inc. Capital Accumulation Plan (warrants)
- PTE 1998-47 Bernard Chaus Inc. Employee Savings Plan (stock rights)
- PTE 1997-23 Hawaiian Airlines Inc. Pilots 401(k) Plan Hawaiian Airlines Inc. et al (stock rights)
- PTE 1996-90 The Smith Barney Shearson Prototype Defined Contribution Plan (stock rights)
- PTE 1996-46 Jacor Communications Inc. Retirement Plan (warrants)
- PTE 1996-36 Spreckels Industries Inc. Employee Stock Ownership Plan et al (warrants)
- PTE 1996-19 Roses Stores Inc. Retirement Savings 401(k) Plan (stock rights warrants etc)
- PTE 1996-07 Ventura County National Bancorp 401(k) and Employee Stock Ownership Plan (stock rights)
- PTE 2011-13 Ford Motor Company (amendment to PTE 2010-08)
- PTE 2010-30 UAW General Motors Company Retiree Medical Benefits Plan, et al
- PTE 2010-12 Chrysler LLC
- PTE 2010-08 Ford Motor Co.
- PTE 2009-19 MarkWest Energy Partners LP
- PTE 2007-18 Owens Corning Savings Plan and Owens Corning Savings and Security Plan
- PTE 2005-04 Wheeling Pittsburgh Corp. and the Wheeling Pittsburgh Steel Corp.
- PTE 2004-08 Kinder Morgan Inc.
- PTE 2003-26 Northwest Airlines Pension Plan for Salaried Employees
- PTE 2002-55 Fidelity Management Trust Co. and its Affiliate
- PTE 2002-42 Provident Mutual Life Insurance Co.
- PTE 2002-15 Rockford Corp. 401(k) Retirement Savings Plan
- PTE 2002-09 The Prudential Insurance Co. of America
- PTE 2001-36 Principal Mutual Holding Co.
- PTE 2001-22 Phoenix Home Life Mutual Insurance Co.
- PTE 2001-17 Indianapolis Life Insurance Co. et al
- PTE 2001-10 Cranston Print Works Co. General Employees Retirement Plan
- PTE 2001-07 American Express Financial Corp.
- PTE 2000-68 The Masters Mates and Pilots Pension Plan and IRA Plan
- PTE 2000-42 Pension Plan for Employees of Southco Inc. and Southco Inc. Employee Stock Ownership Plan
- PTE 2000-38 Standard Insurance Co.
- PTE 2000-17 Earl R Waddell and Sons Profit Sharing Plan and Trust
- PTE 2000-11 Metropolitan Life Insurance Co.
- PTE 2000-06 John Hancock Mutual Life Insurance Co.
- PTE 1998-51 US West Inc. et al
- PTE 1996-73 The Masters Mates and Pilots Pension Plan and Individual Retirement Account Plan
- PTE 2012-15 South Plains Financial, Inc. Employee Stock Ownership Plan (LLC Interests)
- PTE 2008-01 Barclays Global Investors NA et al (exchange traded fund shares)
- PTE 2006-03 The Zieger Health Care Corp. Retirement Fund (LLC interests)
- PTE 2004-19 ARINC Inc. Retirement Income Plan (real property)
- PTE 2004-01 United States Steel and Carnegie Pension Fund (timber rights)
- PTE 2001-34 Deferred Profit Sharing Plan of the Penske Corp. (LLC interests)
- PTE 1999-48 Information Systems Development Inc. Employees Profit Sharing Plan (LLC interests)
- PTE 1997-64 Crown American Properties LP Retirement Savings Plan (REIT shares)
- PTE 2018-01 Health Management Associates, Inc. Retirement Savings Plan and Mooresville Retirement Savings Plan
- PTE 2012-07 Genzyme Corporation 401(k) Plan (CVRs)
- PTE 2012-05 HSBC-North America (U.S.) Tax Reduction Investment Plan (ADS)
- PTE 2008-13 Banc One Investment Advisors Corp. and JPMorgan Investment Management Inc. (stock)
- PTE 2004-09 Landerholm Memovich Lansverk and Whitesides PS 401(k) Profit Sharing Plan (real estate mortgages)
- PTE 2003-21 Arizona Machinery Group Inc. (customer notes)
- PTE 2003-17 DuPont Capital Management Corp. (bonds)
- PTE 2003-16 DuPont Capital Management Corp. (bonds)
- PTE 2003-15 DuPont Capital Management Corp. (bonds)
- PTE 2001-42 Columbia Savings Plan (stock appreciation income linked securities)
- PTE 2001-38 The Savings Plan for Employees of Florida Progress Corp. (contingent value obligations)
- PTE 2001-30 JPMorgan Chase and Co. (Morgan Chase) and its affiliates (index linked securities)
- PTE 2000-63 Merrill Lynch and Co. Inc. (index linked securities)
- PTE 2000-59 Deutsche Bank AG and its affiliates (stock)
- PTE 2009-25 Barclays Global Investors NA et al
- PTE 2008-13 Banc One Investment Advisors Corp. and JPMorgan Investment Management Inc.
- PTE 2008-10 Merrill Lynch and Co. Inc. and BlackRock Inc.
- PTE 2003-23 Goldman Sachs and Co. and its affiliates
- PTE 2003-20 Deutsche Bank Securities Inc. and its affiliates
- PTE 2002-27 Prudential Insurance Co. of America and its affiliates
- PTE 2002-03 Metropolitan Life Insurance Co. and its affiliates
- PTE 2001-07 American Express Financial Corp.
- PTE 2000-59 Deutsche Bank AG and its affiliates
- PTE 2000-30 Barclays Bank PLC
- PTE 2001-30 JPMorgan Chase and Co. and its affiliates
- PTE 2000-63 Merrill Lynch and Co. Inc.
- PTE 2018-02 Liberty Mutual Insurance Company
- PTE 2015-22 United States Steel and Carnegie Pension Fund
- PTE 2009-24 United States Steel and Carnegie Pension Fund
- PTE 2009-23 Verizon Investment Management Corp.
- PTE 2003-36 Deutsche Bank AG
- PTE 1999-33 General Motors Hourly Rate Employees Pension Plan et al
- PTE 1996-17 General Motors Hourly Rate Employees Pension Plan et al
- PTE 2017-02 Aon Pension Plan (LP interests)
- PTE 2016-08 Baxter International Inc. (stock)
- PTE 2015-21 Idaho Veneer Company/Ceda-Pine Veneer, Inc. Employees' Retirement Plan (real property)
- PTE 2015-16 Red Wing Shoe Co Pension Plan for Hourly Employees, Red Wing Shoe Co Retirement Plan & S.B. Foot Tanning Company Employees' Pension Plan (stock)
- PTE 2015-07 Rock Wool Manufacturing Company Salaried Retirement Plan (real property)
- PTE 2014-10 Family Dynamics, Inc., Pension Plan (notes)
- PTE 2014-06 AT&T Inc. (together with AT&T Inc.'s Affiliates, AT&T) (preferred membership interests)
- PTE 2014-02 ABB Inc. Cash Balance Pension Plan; Cash Balance Pension Plan for Certain Represented Employees of ABB Inc.; Pension Plan for Employees of the Process Analytics Division of ABB Inc. Represented by the Laborer's International Union of North America, Local No. 1304; Pension Plan of Fischer & Porter Company; ABB Inc. Pension Plan (U.S. Treasury securities)
- PTE 2012-12 Weyerhaeuser Company and Federalway Asset Management LP (assets)
- PTE 2012-06 Retirement Program for Employees of EnPro Industries (GIC)
- PTE 2012-01 The Kemper Corporation Pension Plan (stock)
- PTE 2011-23 Bayer Corporation (U.S. Treasury securities)
- PTE 2011-13 Ford Motor Company (amendment to PTE 2010-08) (LLC interests, notes, warrants and stock)
- PTE 2010-12 Chrysler LLC (stock and note)
- PTE 2010-08 Ford Motor Co. (LLC interests, notes, warrants, and stock)
- PTE 2008-06 The Swedish Health Services Pension Plan (securities and mutual fund shares)
- PTE 2006-19 Kaiser Aluminum Corp. and its subsidiaries (stock)
- PTE 2006-03 The Zieger Health Care Corp. Retirement Fund (LLC interests)
- PTE 2005-05 RG Dailey Co. Inc. Defined Benefit Plan (stock)
- PTE 2005-04 Wheeling Pittsburgh Corp. (WPC) and Wheeling Pittsburgh Steel Corp. (stock)
- PTE 2005-02 Roy A Herberger Defined Benefit Pension Plan (stock)
- PTE 2004-08 Kinder Morgan Inc. (stock)
- PTE 2004-01 United States Steel and Carnegie Pension Fund (timber rights)
- PTE 2003-26 Northwest Airlines Pension Plan for Salaried Employees et al (stock)
- PTE 2002-24 Carl Mundy Jr Defined Benefit Plan (stock)
- PTE 2000-40 Washington County Hospital Association Employees Cash Balance Plan (securities)
- PTE 1998-51 US West Inc. et al (stock)
- PTE 1998-02 First Bank System Personal Retirement Account (interests)
- PTE 1996-77 Mewbourne Oil Co. Inc. Plan (securities)
- PTE 1996-21 WW Taylor Jr MD PC Money Purchase Pension Plan (securities)
- PTE 2004-19 ARINC Inc. Retirement Income Plan
- PTE 2005-17 George N Newton IRA
- PTE 2008-01 Barclays Global Investors NA et al
- PTE 2005-16 Wachovia Corp.
- PTE 2004-10 DuPont Capital Management Corp.
- PTE 2002-28 Massachusetts Mutual Insurance Co.
- PTE 2002-21 Pacific Investment Management Co. LLC
- PTE 2001-18 UAM Fund Services Inc.
- PTE 2001-04 SEI Investments Co. et al
- PTE 1999-23 First Security Corp.
- PTE 1999-13 Wells Fargo Bank NA
- PTE 1999-07 Keystone Financial Inc.
- PTE 1998-60 Citizens Bank NH
- PTE 1998-49 Harris Trust and Savings Bank
- PTE 1998-46 Sanwa Bank California
- PTE 1997-44 1st Source Bank et al
- PTE 1997-27 Thompson Siegel and Walmsley Inc.
- PTE 1997-16 United States Trust Co. of New York and certain of its affiliates
- PTE 1996-82 Dimensional Fund Advisors Inc.
- PTE 1996-74 Chicago Trust Co. and its affiliates
- PTE 1996-64 Society National Bank et al
- PTE 1996-54 Wells Fargo Bank NA
- PTE 1996-47 EAI Partners LP
- PTE 1996-45 Dauphin Deposit Bank and Trust Co.
- PTE 1996-01 First Hawaiian Bank et al
- PTE 2015-09 Robert W. Baird & Co. Incorporated
- PTE 2010-19 The PNC Financial Services Group Inc. and its affiliates
- PTE 2009-26 MandT Bank Corp. Pension Plan
- PTE 2008-04 GE Asset Management Inc.
- PTE 2008-01 Barclays Global Investors NA et al
- PTE 2007-04 Mellon Financial Corp. et al
- PTE 2005-16 Wachovia Corp.
- PTE 2003-01 The Northern Trust Co. and affiliates
- PTE 2002-20 Union Bank of California
- PTE 2002-07 Ford Motor Co.
- PTE 2001-46 Bank of America Corp.
- PTE 2001-18 UAM Fund Services Inc.
- PTE 2004-05 John Hancock Life Insurance Co.
- PTE 1999-24 San Diego Electrical Pension Trust and San Diego Joint Apprenticeship and Training Trust
- PTE 1999-17 Plumbers and Pipe Fitters National Pension Fund and Pipe Fitters Local No. 211 Joint Educational Trust
- PTE 1996-35 NBD Bancorp
- PTE 1996-03 Retirement Plan for Employees of Concord Hospital Capital Region Healthcare Corp.
- PTE 2003-11 Deutsche Bank AG
- PTE 2010-29 Boston Carpenters Apprenticeship and Training Fund
- PTE 2009-10 Camino Medical Group Inc. Employee Retirement Plan
- PTE 2007-06 Kern County Electrical Pension Trust et al
- PTE 2006-08 Fortunoff Fine Jewelry and Silverware Inc. Cash Balance Pension Plan et al
- PTE 2006-03 The Zieger Health Care Corp. Retirement Fund
- PTE 2005-15 Dakotas and Western Minnesota Electrical Workers Apprenticeship Plan
- PTE 2005-14 Milan Uremovich DDS PC Profit Sharing Plan and Trust
- PTE 2004-21 Camino Medical Group Inc. Matching 401(k) Plan and the Camino Medical Group Inc. Employee Retirement Plan
- PTE 2004-06 Painters District Council No. 4 Apprenticeship Upgrading and Retraining Trust Fund
- PTE 2004-04 Bangs McCullen Butler Foye and Simmons LLP Employees Profit Sharing Plan
- PTE 2003-36 Deutsche Bank AG
- PTE 2003-35 Newspaper Agency Corp. Pension Trust
- PTE 2003-25 IBEW Local No. 1 Health and Welfare Fund and Local No. 1 Apprenticeship and Training Fund
- PTE 2003-10 The JPMorgan Chase Bank
- PTE 2003-06 Individual Exemption to replace PTE 1981-56, PTE 1985-19 and PTE 1989-05 involving the Truman Arnold Companies Retirement Plan and Trust
- PTE 2002-53 A Raimondo Inc. Pension Plan
- PTE 2001-25 The Joliet Medical Group Ltd. Employee Retirement Plan and Trust
- PTE 2001-01 General Motors Hourly Rate Employees Pension Plan et al
- PTE 2000-65 IBEW LU 567 Electrical Joint Apprenticeship and Training Trust Fund and Money Purchase Retirement Plan of Local 567 IBEW
- PTE 2000-15 General Electric Pension Trust
- PTE 1999-40 UNOVA Inc.
- PTE 1999-30 Premier Funding Group Inc. Employees Profit Sharing Plan and the Money Purchase Pension Plan for Employees of Premier Funding Group Inc.
- PTE 1998-36 Collection Bureau Services Profit Sharing Plan and Trust
- PTE 1998-22 The Fortunoff Pension Plans
- PTE 1998-20 The Equitable Life Assurance Society of the United States
- PTE 1998-18 Consolidated Association of Railroad Employees Health Care Plan
- PTE 1998-07 The Equitable Life Assurance Society of the United States
- PTE 1997-46 John Hancock Mutual Life Insurance Co.
- PTE 1997-25 Hughes Non Bargaining Retirement Plan et al
- PTE 1997-24 Retirement Plan for Salaried and certain Hourly Employees of Keebler Co.
- PTE 1996-60 Everett Clinic Profit Sharing Plan and 401(k) Employee Savings Plan
- PTE 1996-41 Buchanan Broadcasting Co. Inc. Profit Sharing Plan and Trust
- PTE 1996-34 General Electric Pension Trust
=
- PTE 2023-11 Midlands Management Corporation 401(k) Plan (the Plan)
- PTE 2023-10 BlueCross BlueShield of Tennessee (BCBS Tennessee)
- PTE 2023-09 Blue Cross and Blue Shield of Nebraska, Inc. (BCBS Nebraska)
- PTE 2023-08 Blue Cross and Blue Shield of Mississippi, a Mutual Insurance
- PTE 2023-07 BCS Financial Corporation (BCS)
- PTE 2023-06 Hawaii Medical Service Association (HMSA)
- PTE 2023-05 Blue Cross Blue Shield of Vermont (BCBS VT)
- PTE 2023-04 Blue Cross Blue Shield of Arizona Inc. (BCBS AZ)
- PTE 2023-03 Blue Cross Blue Shield Association (BCBSA)
- PTE 2011-13 Ford Motor Company (amendment to PTE 2010-08)
- PTE 2010-30 UAW General Motors Company Retiree Medical Benefits Plan, et al
- PTE 2010-20 Citigroup and its affiliates
- PTE 2010-14 UBS Financial Services Inc.
- PTE 2010-12 Chrysler LLC
- PTE 2010-10 Deutsche Bank AG and its affiliates
- PTE 2010-08 Ford Motor Co.
- PTE 2010-05 Goldman Sachs and Co. and its affiliates
- PTE 2010-02 State Street Bank and Trust Co.
- PTE 2009-33 Cotter Merchandise Storage Co. Defined Benefit Pension Plan
- PTE 2009-28 Ford Motor Co. and its affiliates
- PTE 2009-20 Morgan Stanley and Co. Inc.
- PTE 2009-03 General Motors Corp. and its wholly owned subsidiaries
- PTE 2003-04 Michigan Conference of Teamsters Welfare Fund
- PTE 2001-33 Merganser Capital Management LP
- PTE 2000-56 Journal Co. Inc. 401(k) Savings Plan
- PTE 1999-31 The Unaka Co. Inc. Employees Profit Sharing Plan and Trust
- PTE 1996-73 The Masters Mates and Pilots Pension Plan and IRA Plan
See also Extension of Credit by Plans
- PTE 2006-01 Edward D Jones and Co. LP
- PTE 2003-29 Valley OB GYN Clinic PC Employees Pension Plan
- PTE 2000-31 H Ray McPhail and H Ray McPhail Profit Sharing Plan
- PTE 2000-02 SandS Partnership Inc. Profit Sharing Plan
- PTE 1999-03 Sprinx Inc. Retirement Plan
- PTE 1998-44 RandJ Hoffman Inc. Profit Sharing Plan
- PTE 1998-34 Karen J Hartley Profit Sharing Plan et al
- PTE 1998-33 Breland Investments Inc. Profit Sharing Plan and Trust
- PTE 1998-01 The Sperry Rail Inc. Retirement Plan
- PTE 1997-66 Profit Sharing Keogh Plan of Richard D Wickersham
- PTE 1997-62 Franklin and Davis PC Profit Sharing Plan
- PTE 1997-19 APA Inc. 401(k) Profit Sharing Plan
- PTE 1997-06 Skana Enterprises Inc. Defined Benefit Pension Plan
- PTE 1997-02 Wayne Obstetrical Group PA Money Purchase Retirement Plan et al
- PTE 1996-70 Dillards Marine and Sports Center Inc. Profit Sharing Plan
- PTE 2004-14 Les Olson Co. Inc. Profit Sharing Plan
- PTE 2002-18 Smart Chevrolet Co. Employees Profit Sharing Retirement Plan
- PTE 2000-03 Les Olson Co. Inc. Money Purchase Pension Plan and Les Olson Co. Inc. Profit Sharing Plan
- PTE 1997-52 Smart Chevrolet Co. Employees Profit Sharing Retirement Plan
See also Extensions of Credit to Plans | Credit Facility Arrangements
- PTE 2010-34 Retirement Plan for Employees of the Rehabilitation Institute of Chicago
- PTE 2010-27 Finishing Trades Institute of the Mid-Atlantic Region
- PTE 2006-10 Massachusetts Mutual Life Insurance Co.
- PTE 2006-05 Anchorage Area Pipe Trades 367 Joint Apprenticeship Committee
- PTE 2005-07 PAMCAH UA Local 675 Pension Plan and the PAMCAH UA Local 675 Training Plan
- PTE 2004-18 Carpenters Joint Training Fund of St Louis
- PTE 2004-15 The Employees Retirement Plan of Storytown USA Inc. and Participating affiliated Companies
- PTE 2002-55 Fidelity Management Trust Co. and its affiliates
- PTE 2002-37 Adams Wood Products Inc. Profit Sharing Plan
- PTE 2002-01 Key Trust Co. of Ohio
- PTE 1999-31 The Unaka Co. Inc. Employees Profit Sharing Plan and Trust
- PTE 1999-22 Operating Engineers Labor Union 324 Journeyman and Apprentice Training Fund
- PTE 1999-19 VonRoll Isola Savings Plan
- PTE 1998-28 Massachusetts Mutual Life Insurance Co.
- PTE 1997-37 The Roquette America Inc. Pension Plan for Salaried Employees
- PTE 1996-81 Rexam Retirement Savings Plan
- PTE 1996-04 Larson Distributing Co. Profit Sharing Plan
- PTE 2011-13 Ford Motor Company (amendment to PTE 2010-08)
- PTE 2010-30 UAW General Motors Company Retiree Medical Benefits Plan, et al
- PTE 2010-12 Chrysler LLC
- PTE 2010-08 Ford Motor Co.
- PTE 2005-02 Roy A Herberger Defined Benefit Pension Plan
- PTE 1998-48 ACRA Local 725 Health and Welfare Fund and ACRA Local 725 Pension Fund
- PTE 2009-28 Ford Motor Co. and its affiliates
- PTE 2009-03 General Motors Corp. and its wholly owned subsidiaries
- PTE 1997-33 Equitable Life Assurance Society of the United States and its affiliates and its Wholly Owned Subsidiary Equitable Real Estate Management Inc.
See alsoPooled Funds - Mutual Funds
- PTE 1997-46 John Hancock Mutual Life Insurance Co.
- PTE 2002-37 Adams Wood Products Inc. Profit Sharing Plan
- PTE 2001-21 Bank of America
- PTE 1998-42 Van Ness Plastic Molding Co. Inc. Employees Money Purchase Pension Plan
- PTE 1998-30 Jack Mayesh Wholesale Florist Inc. Profit Sharing Plan
- PTE 1997-37 The Roquette America Inc. Pension Plan for Salaried Employees
- PTE 1997-32 Kenzer Thrift Savings Plan and Trust
- PTE 1997-26 ADP Fluor Daniel Inc. Retirement Savings Plan
- PTE 1997-21 Orders Distributing Co. Inc. Profit Sharing Plan and 401(k) Retirement Savings Plan
- PTE 1996-55 Aircon Energy Inc. 401(k) Profit Sharing Plan
- PTE 1996-25 Zausner Foods Corp. Savings Plus Plan
- PTE 1996-16 LEGENT Retirement Security Plan
- PTE 1996-09 Fidelitone Inc. Employees Profit Sharing and Savings Plan and Trust
- PTE 2004-01 United States Steel and Carnegie Pension Fund
- PTE 2002-36 The Banc Funds Co. LLC
- PTE 2001-04 SEI Investments Co. et al
- PTE 2000-37 The Banc Funds Co. LLC
- PTE 1999-32 RREEF America LLC
- PTE 1997-59 AEW Capital Management LP
- PTE 1997-15 The Chicago Corp.
- PTE 1996-39 Timberland Investment Group Inc. and Wachovia Bank of Georgia NA
- PTE 1996-38 RREEF USA Fund - I
- PTE 2009-13 The Bank of New York Mellon Corp.
- PTE 2003-24 Deutsche Bank AG JPMorgan Chase Bank and their affiliates
- PTE 2003-10 JPMorgan Chase Bank
- PTE 1997-20 Real Estate Equity Trust No. 1
- PTE 2012-11 Delaware Charter Guarantee & Trust Co., d\b\a Principal Trust Co.
- PTE 2004-11 Pan American Life Insurance Corp.
- PTE 1998-28 Massachusetts Mutual Life Insurance Co.
- PTE 1998-20 The Equitable Life Assurance Society of the United States
- PTE 2018-09 CLS Investments, LLC and Affiliates
- PTE 2018-03 Russell Investment Management, LLC, et al.
- PTE 2015-17 Frank Russell Company and Affiliates
- PTE 2014-09 Renaissance Technologies, LLC
- PTE 2012-10 Renaissance Technologies, LLC
- PTE 2010-10 Deutsche Bank AG and its affiliates
- PTE 2010-07 Columbia Management Advisors LLC
- PTE 2010-05 Goldman Sachs and Co. and its affiliates
- PTE 2010-02 State Street Bank and Trust Co.
- PTE 2010-01 Deutsche Bank AG
- PTE 2009-20 Morgan Stanley and Co. Inc.
- PTE 2008-16 BlackRock Inc. and the PNC Financial Services Group Inc.
- PTE 2008-10 Merrill Lynch and Co. Inc. and BlackRock Inc.
- PTE 2008-07 Credit Suisse and its Current and Future affiliates
- PTE 2008-03 Wellington Management Co. LLP et al
- PTE 2008-01 Barclays Global Investors NA and its Investment Advisory affiliates including Barclays Global Fund Advisors
- PTE 2007-20 BlackRock Incand Merrill Lynch and Co.
- PTE 2007-14 Wells Fargo and Co.
- PTE 2007-03 Bear Stearns Companies Inc. Bear Stearns Asset Management Inc. and Bear Stearns and Co. Inc.
- PTE 2003-24 Deutsche Bank AG JPMorgan Chase Bank and their affiliates
- PTE 2003-22 Lehman Brothers Holding Inc. and Lehman Brothers Inc. et al
- PTE 2000-25 Morgan Guaranty Trust Co. of New York et al
- PTE 2000-12 First American Capital Management Inc.
- PTE 1997-59 AEW Capital Management LP
- PTE 1996-39 Timberland Investment Group Inc. and Wachovia Bank of Georgia NA
- PTE 2018-03 Russell Investment Management, LLC, et al.
- PTE 2015-17 Frank Russell Company and Affiliates
- PTE 2012-11 Delaware Charter Guarantee & Trust Co., d\b\a Principal Trust Co.
- PTE 2010-26 PNC Financial Services Group Inc.
- PTE 2010-19 The PNC Financial Services Group Inc. and its affiliates
- PTE 2010-13 Putnam Fiduciary Trust Co.
- PTE 2009-22 PNC Financial Services Group Inc.
- PTE 2009-12 Grant of Individual Exemption to replace PTE 2000-45 involving Citigroup Global Markets Inc. formerly Salomon Smith Barney Inc.
- PTE 2008-10 Merrill Lynch and Co. Inc. and BlackRock Inc.
- PTE 2008-04 GE Asset Management Inc.
- PTE 2007-04 Mellon Financial Corp. et al
- PTE 2005-16 Wachovia Corp.
- PTE 2004-20 Comerica Bank
- PTE 2003-01 The Northern Trust Co. and affiliates
- PTE 2002-28 Massachusetts Mutual Insurance Co.
- PTE 2002-21 Pacific Investment Management Co. LLC
- PTE 2002-20 Union Bank of California
- PTE 2002-17 State Farm Mutual Automobile Insurance Co. and State Farm VP Management Corp.
- PTE 2001-46 Bank of America Corp.
- PTE 2001-16 New York Life Insurance Co.
- PTE 2001-15 Ibbotson Associates Inc.
- PTE 2001-14 Keystone Brokerage Inc.
- PTE 2001-04 SEI Investments Co.
- PTE 2000-66 Allfirst Bank
- PTE 2000-46 Bank of Oklahoma
- PTE 2000-45 Grant of Individual Exemption to amend and replace PTE 1999-15 involving Salomon Smith Barney Inc.
- PTE 2000-39 Standard and Poors and Standard and Poors Investment Advisory Services LLC
- PTE 1999-36 Aetna Inc.
- PTE 1999-07 Keystone Financial Inc. and certain of its affiliates
- PTE 1998-60 Citizens Bank New Hampshire
- PTE 1998-49 Harris Trust and Savings Bank
- PTE 1998-46 Sanwa Bank California
- PTE 1998-25 SmartRetirement The OLDE 401(k) Plan
- PTE 1997-60 TCW Group Inc. Trust Co. of the West
- PTE 1997-47 AmSouth Bank of Alabama
- PTE 1997-12 Wells Fargo Bank NA
- PTE 1996-74 Chicago Trust Co.
- PTE 1996-59 PaineWebber Inc.
- PTE 2003-23 Goldman Sachs and Co. and its affiliates
- PTE 2003-20 Deutsche Bank Securities Inc. and its affiliates
- PTE 2011-12 International Union of Painters and Allied Trades Finishing Trades Institute (food and lodging)
- PTE 2007-12 American Maritime Officers Safety and Education Plan et al (hydrodynamic and geographic modeling, and training)
- PTE 2007-02 American Maritime Officers Safety and Education Plan et al (food and lodging)
See also Asset Allocation Advice | Performance Compensation/Incentive Fees | Receipt of Fees or Benefits by Parties in Interest
- PTE 2015-17 Frank Russell Company and Affiliates(investment management, investment advisory or similar services, and secondary services)
- PTE 2013-05 EquiLend Holdings LLC(securities lending data)
- PTE 2012-11 Delaware Charter Guarantee & Trust Co., d\b\a Principal Trust Co.(investment management, investment advisory or similar services, and secondary services)
- PTE 2012-04 Aztec Well Servicing Company & Related Companies Medical Plan Trust(urgent medical care and a wellness services)
- PTE 2010-19 PNC Financial Services Group Inc. and its affiliates(investment advisory services or similar services, secondary services, and administrative services)
- PTE 2009-22 PNC Financial Services Group Inc.
- PTE 2009-12 Grant of Individual Exemption to replace PTE 2000-45 involving Citigroup Global Markets Inc. formerly Salomon Smith Barney Inc.(asset allocation services)
- PTE 2008-14 Fidelity Brokerage Services LLC and its affiliates(receipt of benefits)
- PTE 2008-02 Citigroup Inc.(receipt of services at reduced or no cost)
- PTE 2008-01 Barclays Global Investors NA et al(secondary services)
- PTE 2007-01 Plumbers and Pipe Fitters National Pension Fund(services, products, and discounted food and lodging, etc.)
- PTE 2006-15 Amendment to PTE 1995-31 involving the Financial Institutions Retirement Fund and the Financial Institutions Thrift Plan(trust services)
- PTE 2006-01 Edward D Jones and Co. LP
- PTE 2004-20 Comerica Bank(secondary services)
- PTE 2003-30 Fifth Third Bank(secondary services)
- PTE 2002-28 Massachusetts Mutual Insurance Co.(investment management, investment advisory or similar services, and secondary services)
- PTE 2002-21 Pacific Investment Management Co. LLC(investment management, investment advisory or similar services, and secondary services)
- PTE 2001-39 Independent Fiduciary Services Inc.(services, facilities, and goods incidental thereto by a place of public accommodation)
- PTE 2001-16 New York Life Insurance Co.(investment management, investment advisory or similar services, and secondary services)
- PTE 2001-15 Ibbotson Associates Inc.(asset allocation services)
- PTE 2001-14 Keystone Brokerage Inc.(asset allocation services)
- PTE 2000-46 Bank of Oklahoma(asset allocation services)
- PTE 2000-45 Grant of Individual Exemption to amend and replace PTE 1999-15 involving Salomon Smith Barney Inc.(asset allocation services)
- PTE 2000-39 Standard and Poors and Standard and Poors Investment Advisory Services LLC(asset allocation services)
- PTE 1999-15 Grant of Individual Exemption to amend PTE 1994-50 involving Salomon Smith Barney Inc.(asset allocation services)
- PTE 1998-52 RREEF America LLC(leasing services)
- PTE 1998-35 Amalgamated Bank of New York(banking services)
- PTE 1997-35 ILGWU National Retirement Fund et al(banking services)
- PTE 1997-12 Wells Fargo Bank NA(asset allocation services)
- PTE 1996-59 PaineWebber Inc.(asset allocation services)
- PTE 2014-06 AT&T Inc. (together with AT&T Inc.'s Affiliates, AT&T)
- PTE 2002-23 Cargill Inc. and Associated Companies Salaried Employees Pension Plan et al
- PTE 2002-06 Brookshire Brothers Ltd.
- PTE 2001-10 Cranston Print Works Co. General Employees Retirement Plan
- PTE 2000-42 Pension Plan for Employees of Southco Inc. and Southco Inc. Employee Stock Ownership Plan
- PTE 2010-13 Putnam Fiduciary Trust Co. (mutual fund shares)
- PTE 2007-07 OPET Health Car and Life Insurance Plans RM3A and RM5A and OPET Prescription Drug Plan RRx (prescription drugs)
- PTE 2006-12 Retail Clerks Welfare Trust Health and Welfare Plan (prescription drugs)
- PTE 2003-05 John Hancock Life Insurance Co. (timber assets)
- PTE 2002-50 Child Health Corp. of America (insurance)
- PTE 2002-17 State Farm Mutual Automobile Insurance Co. and State Farm VP Management Corp. (mutual fund shares)
- PTE 2002-05 Alaska UFCW Health and Security Trust Fund (prescription drugs)
- PTE 2001-16 New York Life Insurance Co. (insurance/annuity contracts and a stable value fund product)
- PTE 2001-14 Keystone Brokerage Inc. (mutual fund shares)
- PTE 2000-60 John L Rust Co. Profit Sharing Plan (equipment leases)
- PTE 2000-44 UFCW Union Local 789 and St Paul Food Employers Health Care Plan (prescription drugs)
- PTE 2000-13 Deutsche Bank AG et al (stable value fund product)
- PTE 2000-05 Business Mens Assurance Co. of America (stable value fund products)
- PTE 1999-49 Massachusetts Mutual Life Insurance Co. (separate account units)
- PTE 1999-42 Pacific Coast Roofers Pension Plan (CDs)
- PTE 1999-36 Aetna Inc. (insurance contracts)
- PTE 1998-61 John Hancock Mutual Life Insurance Co. (timber assets)
- PTE 1998-53 Pacific Income Advisers Inc. (trust units)
- PTE 1998-35 Amalgamated Bank of New York (CDs)
- PTE 1998-27 James E Jordan Sr IRA (note)
- PTE 1998-17 Metropolitan Life Insurance Co. (stable value fund interests)
- PTE 1997-35 ILGWU National Retirement Fund et al (CDs)
- PTE 1997-20 Real Estate Equity Trust No. 1 (trust units)
- PTE 1997-14 Givens 401(k) Savings and Retirement Plan (GAC)
- PTE 1996-80 Lehman Brothers Inc. (collateralized GICs)
- PTE 1996-76 Teachers Insurance and Annuity Association of America (real estate separate account units)
- PTE 1996-75 Pacific Mutual Life Insurance Co. (stable value fund interests)
- PTE 1996-69 Westinghouse Savannah River Co. et al (life insurance interest)
- PTE 1997-46 John Hancock Mutual Life Insurance Co.
- PTE 2018-01 Health Management Associates, Inc. Retirement Savings Plan and Mooresville Retirement Savings Plan
- PTE 2015-08 Wells Fargo Company
- PTE 2006-09 The Southwest Gas Corp. (stock)
- PTE 2004-09 Landerholm Memovich Lansverk and Whitesides PS 401(k) Profit Sharing Plan (real estate mortgages)
- PTE 2003-23 Goldman Sachs and Co. and its affiliates (equities debt securities etc)
- PTE 2003-22 Lehman Brothers Holding Inc. and Lehman Brothers Inc. et al (equities debt securities etc)
- PTE 2003-21 Arizona Machinery Group Inc. (customer notes)
- PTE 2003-20 Deutsche Bank Securities Inc. and its affiliates (equities debt securities etc)
- PTE 2002-22 Connecticut Plumbers and Pipe Fitters Pension Fund Connecticut Pipe Trades Local No. 777 Annuity Fund and Connecticut Pipe Trades Health Fund (stock)
- PTE 2002-16 Morgan Stanley and Co. Inc. (bonds)
- PTE 2001-30 JPMorgan Chase and Co. and its affiliates (index linked securities)
- PTE 2001-13 The Amalgamated Cotton Garment and Allied Industries Fund Retirement Fund (stock)
- PTE 2001-11 Salomon Smith Barney Inc. et al (debt securities)
- PTE 2000-63 Merrill Lynch and Co. Inc. (index linked securities)
- PTE 2000-29 Morgan Stanley Dean Witter (ICA defined securities)
- PTE 2000-28 Citigroup Inc. (ICA defined securities)
- PTE 2000-27 The Chase Manhattan Bank (ICA defined securities)
- PTE 2000-26 Goldman Sachs and Co. (ICA defined securities)
- PTE 2000-25 Morgan Guaranty Trust Co. of New York and JPMorgan (ICA defined securities)
- PTE 1999-36 Aetna Inc. (insurance contract)
- PTE 1999-25 Daniel N Cunningham IRA and the Sidney B Cox IRA (stock)
- PTE 1999-16 Standard Bank Employees Profit Sharing Plan (residential mortgage notes)
- PTE 1999-10 Genito Urinary Surgeons Inc. Profit Sharing Plan (stock)
- PTE 1997-15 The Chicago Corp. (bank equities debt instruments etc)
- PTE 1996-85 The Chase Manhattan Bank (emerging market securities)
- PTE 2019-06 Tidewater Savings and Retirement Plan
- PTE 2019-05 Seventy Seven Energy Inc. Retirement & Savings Plan
- PTE 2019-04 Principal Life Insurance Company and its Affiliates
- PTE 2013-02 Atlas Energy, Inc. Employee Stock Ownership Plan
- PTE 2013-03 Central Pacific Bank 401(k) Retirement and Savings Plan
- PTE 2015-11 Robert A. Handelman Roth IRA No. 2
- PTE 2012-15 South Plains Financial, Inc. Employee Stock Ownership Plan
- PTE 2009-19 MarkWest Energy Partners LP
- PTE 2007-10 Paul Niednagel IRAs and Lynne Niednagel IRAs
- PTE 2002-36 The Banc Funds Co. LLC
- PTE 2001-34 Deferred Profit Sharing Plan of the Penske Corp.
- PTE 2000-37 The Banc Funds Co. LLC
- PTE 1999-46 Plumbers and Pipe Fitters National Pension Fund
- PTE 1998-10 MS Commodity Investments Portfolio II LP and Morgan Stanley
- PTE 2018-04 Toledo Electrical Joint Apprenticeship & Training Fund
- PTE 2015-19 New England Carpenters Training Fund
- PTE 2015-12 Roofers Local 195 Pension Fund and Roofers Local 195 Joint Apprenticeship Training Fund
- PTE 2015-05 Local 268 Sheet Metal Workers Local 268, Sheet Metal Workers International Association
- PTE 2013-07 Mo-Kan Teamsters Apprenticeship and Training Fund
- PTE 2010-18 Boston Carpenters Apprenticeship and Training Fund
- PTE 2009-32 Alaska Laborers Construction Industry Apprenticeship Training Trust
- PTE 2007-13 Sheet Metal Workers Local Union 17 Insurance Fund
- PTE 2007-06 Kern County Electrical Pension Trust et al
- PTE 2005-07 PAMCAH UA Local 675 Pension Plan and the PAMCAH UA Local 675 Training Plan
- PTE 2004-18 Carpenters Joint Training Fund of St Louis
- PTE 2003-27 Local 705 International Brotherhood of Teamsters Pension Plan
- PTE 2002-49 Twin City Iron Workers Apprenticeship and Training Fund
- PTE 2001-23 Retirement Plan of Plumbers and Steamfitters Local 489
- PTE 2000-21 Texas Iron Workers and Employers Apprenticeship Training and Journeyman Pension Fund
- PTE 1999-46 Plumbers and Pipe Fitters National Pension Fund
- PTE 1998-31 Pipe Fitters Local Union No. 537 Pension Fund
- PTE 1998-12 Hawaii Laborers Apprenticeship and Training Trust Fund
See also Sales by Plans of Real Property and Leasebacks
- PTE 2012-16 Meridian Medical Associates, S.C. Employees' Retirement Plan and Trust
- PTE 1996-26 Jack Lyon and Jones PA Profit Sharing Plan
- PTE 2002-34 Louisville Electrical Joint Apprentice and Training Committee Trust Fund
- PTE 2003-05 John Hancock Life Insurance Co.
- PTE 1999-24 San Diego Electrical Pension Trust and San Diego Joint Apprenticeship and Training Trust
- PTE 1998-61 John Hancock Mutual Life Insurance Co.
- PTE 2012-07 Genzyme Corporation 401(k) Plan
- PTE 2004-19 ARINC Inc. Retirement Income Plan
- PTE 2003-38 Aetna Life Insurance Co. and UBS Realty Investors LLC
- PTE 2003-26 Northwest Airlines Pension Plan for Salaried Employees et al
- PTE 2002-39 Grant of Individual Exemption to amend and replace PTE 1985-131 involving the Watkins Master Trust
- PTE 2002-23 Cargill Inc. and Associated Companies Salaried Employees Pension Plan et al
- PTE 2001-10 Cranston Print Works Co. General Employees Retirement Plan
- PTE 2000-42 Pension Plan for Employees of Southco Inc. and Southco Inc. Employee Stock Ownership Plan
- PTE 1998-36 Collection Bureau Services Profit Sharing Plan and Trust
- PTE 1998-18 Consolidated Association of Railroad Employees Health Care Plan
- PTE 1998-02 First Bank System Personal Retirement Account
- PTE 1997-24 The Retirement Plan for Salaried and certain Hourly Employees of Keebler Co.
- PTE 1996-85 The Chase Manhattan Bank
- PTE 1996-60 Everett Clinic Profit Sharing Plan and 401(k) Employee Savings Plan
- PTE 1996-58 Fieldcrest Cannon Inc. Retirement Savings Plan for Salaried Employees et al
- PTE 1996-26 Jack Lyon and Jones PA Profit Sharing Plan
Exemptions Related to the Following Conditions of QPAM
- PTE 2021-01 DWS Investment Management Americas, Inc. (DIMA) and Certain Current and Future Asset Management Affiliates of Deutsche Bank AG (Each a DB QPAM)
Section I(d)
- PTE 2003-36 Deutsche Bank AG
Section I(e)
- PTE 2015-22 United States Steel and Carnegie Pension Fund
- PTE 2012-12 Weyerhaeuser Company and Federalway Asset Management LP
- PTE 2009-24 United States Steel and Carnegie Pension Fund
- PTE 2001-39 Independent Fiduciary Services Inc.
- PTE 2001-06 General Motors Investment Corp.
- PTE 2001-05 DuPont Capital Management Corp.
- PTE 2000-49 Actuarial Sciences Associates Inc. and ASA Fiduciary Counselors Inc.
Section I(g)
- PTE 2023-15 Pacific Investment Management Company LLC (PIMCO)
- PTE 2023-14 UBS AG (UBS) and Credit Suisse Group AG (CSAG)
- PTE 2023-13 TT International Asset Management Ltd
- PTE 2023-02 Citigroup
- PTE 2023-01 JP Morgan Chase
- PTE 2022-01 Credit Suisse Group AG
- PTE 2021-01 DWS Investment Management Americas, Inc. (DIMA) and Certain Current and Future Asset Management Affiliates of Deutsche Bank AG (Each a DB QPAM)
- PTE 2020-01 UBS Assets Management Inc.; UBS Realty Investors LLC; UBS Hedge Fund Solutions LLC; UBS O’Connor LLC; and Certain Future Affiliates in the UBS AG Asset Management and Global Wealth Management U.S. Divisions
- PTE 2019-07 Credit Suisse Group AG and Its Current and Future Affiliates, Including Credit Suisse AG
- PTE 2019-01 UBS Assets Management Inc.; UBS Realty Investors LLC; UBS Hedge Fund Solutions LLC; UBS O’Connor LLC; and Certain Future Affiliates in the UBS AG Asset Management and Global Wealth Management U.S. Divisions
- PTE 2018-07 BNP Paribas, S. A.
- PTE 2017-07 UBS Assets Management (Americas) Inc.
- PTE 2017-06 Barclays Capital Inc.
- PTE 2017-05 Citigroup, Inc.
- PTE 2017-04 Deutsche Bank AG
- PTE 2017-03 JP Morgan Chase Co.
- PTE 2016-17 UBS Assets Management
- PTE 2016-16 Barclays Capital Inc.
- PTE 2016-15 JP Morgan Chase & Co.
- PTE 2016-14 Citibank
- PTE 2016-13 Deutsche Bank
- PTE 2016-12 Extension of PTE 2015-15 Involving Deutsche Bank AG
- PTE 2016-11 Northern Trust Corporation
- PTE 2016-10 Royal Bank of Canada
- PTE 2015-15 Deutsche Bank AG
- PTE 2015-14 Credit Suisse AG
- PTE 2015-06 BNP Paribas, S.A.
- PTE 2014-11 Credit Suisse AG
- PTE 2013-09 UBS AG
- PTE 2012-08 Citigroup Inc.
- PTE (no number) Adoption of Amendment to PTE 1999-29 Bankers Trust Co. Deutsche Bank Trust Co. Americas and Deutsche Bank AG (11/09/05)
- PTE 2005-06 Riggs Bank NA and the PNC Financial Services Group Inc.
- PTE 2004-13 The Prudential Insurance Co. of America
- PTE 2002-25 HSBC Holdings PLC
- PTE 2000-70 HSBC Holdings PLC
- PTE 1999-29 Bankers Trust et al
- PTE 1997-13 GE Capital Investment Advisors Inc.
- PTE 1997-10 PanAgora Asset Management Inc.
Section VI(a)(1) (formerly, Section V(a)(1))
- PTE 2002-31 Deutsche Bank AG
Section VI(a)(4) (formerly, Section V(a)(4))
- PTE 2012-12 Weyerhaeuser Company and Federalway Asset Management LP
- PTE 2011-01 Wasatch Advisors, Inc.
- PTE 2009-24 United States Steel and Carnegie Pension Fund
- PTE 2001-33 Merganser Capital Management LP
Other
- PTE 1999-33 General Motors Hourly Rate Employees Pension Plan et al
- PTE 1997-50 McLane Co. Inc. Profit Sharing Plan and Trust
- PTE 1997-25 Hughes Non Bargaining Retirement Plan et al
- PTE 2010-04 JPMorgan Chase Bank NA
- PTE 2005-03 National Electrical Benefit Fund
- PTE 2003-10 The JPMorgan Chase Bank
- PTE 2002-52 Bank of America
- PTE 2000-22 Bankers Trust Co.
- PTE 2000-10 Bankers Trust Co.
- PTE 1999-47 Bankers Trust Co.
- PTE 1999-33 General Motors Hourly Rate Employees Pension Plan et al
- PTE 1999-08 Bankers Trust Co.
- PTE 2000-35 Fortis Inc. Employees Uniform Profit Sharing Plan
- PTE 1998-42 Van Ness Plastic Molding Co. Inc. Employees Money Purchase Pension Plan
- PTE 1997-32 The Kenzer Corp. Thrift Savings Plan and Trust
- PTE 2003-02 Brightpoint Inc.
See also Asset Allocation Advice | Performance Compensation/Incentive Fees | Provision of Services
- PTE 2019-02 Retirement Clearinghouse, LLC
- PTE 2018-09 CLS Investments, LLC and Affiliates
- PTE 2018-03 Russell Investment Management, LLC, et al.
- PTE 2015-17 Frank Russell Company and Affiliates
- PTE 2015-09 Robert W. Baird & Co. Inc.
- PTE 2014-01 Bank of America Corporation
- PTE 2012-11 Delaware Charter Guarantee & Trust Co., d\b\a Principal Trust Co.
- PTE 2012-04 Aztec Well Servicing Company & Related Companies Medical Plan Trust
- PTE 2011-21 BB&T Asset Management, Inc.
- PTE 2011-19 Bank of America, N.A. et al
- PTE 2010-26 PNC Financial Services Group Inc.
- PTE 2010-13 Putnam Fiduciary Trust Co.
- PTE 2009-22 PNC Financial Services Group Inc.
- PTE 2008-14 Fidelity Brokerage Services LLC and Fidelity Management Corp.
- PTE 2008-02 Citigroup Inc.
- PTE 2007-02 American Maritime Officers Safety and Education Plan et al
- PTE 2006-15 Amendment to PTE 1995-31 involving the Financial Institutions Retirement Fund and the Financial Institutions Thrift Plan
- PTE 2004-20 Comerica Bank
- PTE 2003-30 Fifth Third Bank
- PTE 2003-19 Grant of Individual Exemption to replace PTE 97-63 involving State Street Bank and Trust Co.
- PTE 2003-18 Skandinaviska Enskilda Banken AB
- PTE 2003-07 Archer Daniels Midland Co.
- PTE 2002-50 Child Health Corp. of America
- PTE 2002-48 Deutsche Bank AG and its affiliates
- PTE 2002-46 Barclays Global Investors NA
- PTE 2002-45 Deutsche Bank AG
- PTE 2002-44 Goldman Sachs and Co.
- PTE 2002-36 The Banc Funds Co. LLC
- PTE 2002-33 Morgan Stanley Dean Witter and Co.
- PTE 2002-28 Massachusetts Mutual Insurance Co.
- PTE 2001-16 New York Life Insurance Co.
- PTE 2001-15 Ibbotson Associates Inc.
- PTE 2001-14 Keystone Brokerage Inc.
- PTE 2001-08 ING Barings LLC et al
- PTE 2000-66 Allfirst Bank
- PTE 2000-46 Bank of Oklahoma
- PTE 2000-39 Standard and Poors and Standard and Poors Investment Advisory Services LLC
- PTE 2000-12 First American Capital Management Inc.
- PTE 1999-50 Bankers Trust Co.
- PTE 1999-49 Massachusetts Mutual Life Insurance Co.
- PTE 1999-44 Pacific Life Corp.
- PTE 1999-36 Aetna Inc.
- PTE 1999-34 Chase Manhattan Bank
- PTE 1999-32 RREEF America LLC
- PTE 1999-21 Citibank NA and Salomon Smith Barney
- PTE 1999-15 Salomon Smith Barney Inc.
- PTE 1999-13 Wells Fargo Bank NA
- PTE 1998-60 Citizens Bank NH
- PTE 1998-53 Pacific Income Advisers Inc.
- PTE 1998-52 RREEF America LLC
- PTE 1998-49 Harris Trust and Savings Bank
- PTE 1998-46 Sanwa Bank California
- PTE 1998-41 Lehman Brothers Inc. et al
- PTE 1998-40 Morgan Stanley and Co. Inc. et al
- PTE 1998-25 SmartRetirement The OLDE 401(k) Plan
- PTE 1998-24 Goldman Sachs and Co. et al
- PTE 1998-23 Bankers Trust Co.
- PTE 1997-63 State Street Bank and Trust Co.
- PTE 1997-60 TCW Group Inc. et al
- PTE 1997-59 AEW Capital Management LP
- PTE 1997-47 AmSouth Bank of Alabama
- PTE 1997-27 Thompson Siegel and Walmsley Inc.
- PTE 1997-20 Real Estate Equity Trust No. 1
- PTE 1997-16 United States Trust Co. of New York and certain of its affiliates
- PTE 1997-12 Wells Fargo Bank NA
- PTE 1996-74 Chicago Trust Co. and its affiliates
- PTE 1996-64 Society National Bank et al
- PTE 1996-59 PaineWebber Inc.
- PTE 1996-45 Dauphin Deposit Bank and Trust Co.
- PTE 1996-39 Timberland Investment Group Inc. and Wachovia Bank of Georgia NA
- PTE 1996-38 RREEF USA Fund - I
- PTE 1996-14 Morgan Stanley and Co. Inc. et al
- PTE 1996-01 First Hawaiian Bank et al
- PTE 2004-15 Employees Retirement Plan of Storytown USA Inc. and Participating affiliated Companies
- PTE 2003-37 National Electrical Benefit Fund
- PTE 2002-55 Fidelity Management Trust Co. and its affiliates
- PTE 2002-37 Adams Wood Products Inc. Profit Sharing Plan
- PTE 2002-01 Key Trust Co. of Ohio
- PTE 1996-58 Fieldcrest Cannon Inc. Retirement Savings Plan for Salaried Employees et al
- PTE 1996-30 Aultman Retirement Savings Plan
- PTE 1996-04 Larson Distributing Co. Profit Sharing Plan
- PTE 2000-67 Butler Johnson Corp. Profit Sharing Plan
- PTE 2000-56 Journal Co. Inc. 401(k) Savings Plan
- PTE 2000-35 Fortis Inc. Employees Uniform Profit Sharing Plan
- PTE 1998-48 ACRA Local 725 Health and Welfare Plan Fund and ACRA Local 725 Pension Fund
- PTE 1998-42 Van Ness Molding Co. Inc. Employees Money Purchase Pension Plan
- PTE 1997-37 The Roquette America Inc. Pension Plan for Salaried Employees
- PTE 1997-32 The Kenzer Corp. Thrift Savings Plan and Trust
- PTE 1997-07 Pikeville National Bank and Trust Co. et al
- PTE 2011-21 BB&T Asset Management, Inc.
- PTE 2002-15 Rockford Corp. 401(k) Retirement Savings Plan
- PTE 2003-38 Aetna Life Insurance Co. and UBS Realty Investors LLC
- PTE 2003-26 Northwest Airlines Pension Plan for Salaried Employees et al
- PTE 2003-10 The JPMorgan Chase Bank
- PTE 2001-10 Cranston Print Works Co. General Employees Retirement Plan
- PTE 1998-28 Massachusetts Mutual Life Insurance Co.
- PTE 1998-18 Consolidated Associations of Railroad Employees Health Care Plan
- PTE 1997-56 UNUM Life Insurance Co. of America
- PTE 1997-24 The Retirement Plan for Salaried and certain Hourly Employees of Keebler Co.
- PTE 2019-04 Principal Life Insurance Company and its Affiliates
- PTE 2015-16 Red Wing Shoe Co Pension Plan for Hourly Employees, Red Wing Shoe Co Retirement Plan & S.B. Foot Tanning Company Employees' Pension Plan
- PTE 2012-18 Ed Laur Defined Benefit Plan (stock)
- PTE 2010-32 Sherburne Tele Systems, Inc. 2008 amended and restated Employee Stock Ownership Plan and Trust
- PTE 2005-13 Best Business Products Inc. Employee Stock Ownership Plan
- PTE 2003-32 Sorenson Broadcasting Employee Stock Ownership Plan and Trust
- PTE 2003-26 Northwest Airlines Pension Plan for Salaried Employees et al
- PTE 2003-14 ACR Homes Inc. Employee Stock Ownership Plan
- PTE 2002-32 Northwoods Bank of Minnesota Employee Stock Ownership Plan
- PTE 2001-10 Cranston Retirement Plan
- PTE 2000-68 The Masters Mates and Pilots Pension Plan and Individual Retirement Plan
- PTE 2000-17 Earl R Waddell and Sons Profit Sharing Plan and Trust
- PTE 1996-29 Floral Glass and Mirror Inc. Profit Sharing Plan and Trust
- PTE 2011-22 Russell Trust Company (notes)
- PTE 2010-22 CUNA Mutual Pension Plan for Represented Employees et al (private equity fund interests)
- PTE 2010-13 Putnam Fiduciary Trust Co. (mutual fund shares)
- PTE 2010-06 Louis Chaykin MD PA Cross Tested Profit Sharing Plan (coins)
- PTE 2004-11 Pan American Life Insurance Corp. (stable value fund units)
- PTE 2003-05 John Hancock Life Insurance Co. (timber assets/products)
- PTE 2002-17 State Farm Mutual Automobile Insurance Co. and State Farm VP Management Corp. (mutual fund shares)
- PTE 2001-20 THS Profit Sharing Plan (life insurance policies)
- PTE 2000-52 Kwik Kopy Corp. Employees Welfare Plan (recreational facilities)
- PTE 1998-58 Mohammad J Iqbal Employee Profit Sharing Plan and Trust (coins)
- PTE 1998-53 Pacific Income Advisers Inc. (trust units)
- PTE 1998-21 Tyson Foods Inc. Employee Profit Sharing Plan and Trust (hatcheries and freezer)
- PTE 1998-17 Metropolitan Life Insurance Co. (stable value fund units)
- PTE 1998-06 CoreStates GIC and BIC Fund (GICs)
- PTE 1998-04 Pentair Retirement Savings and Stock Incentive Plan (GICs)
- PTE 1997-31 Howes Leather Co. Inc. Employee Stock Ownership Plan (life insurance policy)
- PTE 1997-17 Consolidated Lumber Corp. Pension Plan (whole life insurance policies)
- PTE 1996-86 Acme 401(k) Retirement Savings Plan (interest in real estate fund)
- PTE 1996-76 Teachers Insurance and Annuity Association of America (units in real estate separate account)
- PTE 1996-75 Pacific Mutual Life Insurance Co. (stable value fund products)
- PTE 1996-72 Mei Technology Corp. 401(k) Plan (GAC)
- PTE 1996-67 Cablevision Industries Corp. Profit Sharing Plan (GIC interest)
- PTE 1996-66 Hach Co. 401(k) Profit Sharing Plan (GAC)
- PTE 1996-58 Fieldcrest Cannon Inc. Retirement Savings Plan for Salaried Employees et al (GICs)
- PTE 1996-57 VVP America Inc. Incentive Savings Plan (life insurance policies)
- PTE 1996-55 Aircon Energy Inc. 401(k) Profit Sharing Plan (work stations)
- PTE 1996-53 AmSouth Bancorporation Thrift Plan (GIC)
- PTE 1996-52 First Virginia Banks Inc. (CDs)
- PTE 1996-48 Pension Plan of Roper Hospital Inc. (GAC)
- PTE 1996-44 Sprague Electric Co. Retirement and Savings Plan (GAC interest)
- PTE 1996-28 Associated Claims Management 401(k) Plan (GAC)
- PTE 2014-10 Family Dynamics, Inc., Pension Plan
- PTE 2013-11 Wells Fargo Bank, N.A.
- PTE 2012-18 Ed Laur Defined Benefit Plan (stock)
- PTE 2011-21 BB&T Asset Management, Inc. (stock)
- PTE 2010-25 State Street Bank and Trust Co. et al (fixed income securities)
- PTE 2010-21 Barclays California Corp. (short term debt instruments)
- PTE 2010-17 The Bank of New York Mellon (Victoria Financial stock)
- PTE 2010-03 The Bank of New York Mellon (Lehman floating rate stock)
- PTE 2010-02 State Street Bank and Trust Co. (mortgage/asset backed securities)
- PTE 2009-34 Unaka Co. Inc. Employees Profit Sharing Plan (notes)
- PTE 2009-33 Cotter Merchandise Storage Co. Defined Benefit Pension Plan (notes)
- PTE 2009-27 The Bank of New York Mellon Corp. (Lehman floating rate stock)
- PTE 2009-17 IRA for Ralph Hartwell et al (stock)
- PTE 2009-02 Starrett Corp. Pension Plan (note)
- PTE 2008-12 Mellon Bank NA (notes)
- PTE 2008-09 Wholesale Electronic Supply Employees Profit Sharing Plan and Trust (notes)
- PTE 2007-21 Gastroenterology and Oncology Associates PA Profit Sharing Plan and Trust (stock)
- PTE 2007-19 Middleburg Trust Co. (bonds)
- PTE 2007-09 The DeRose Dental Offices Inc. SC Profit Sharing Plan (stock)
- PTE 2006-17 Frank D May DMD PA 401(k) Profit Sharing Plan and Trust (stock)
- PTE 2005-11 The UNITE National Retirement Fund (stock)
- PTE 2004-09 Landerholm Memovich Lansverk and Whitesides PS 401(k) Profit Sharing Plan (mortgages)
- PTE 2003-23 Goldman Sachs and Co. and its affiliates (equities fixed income securities etc)
- PTE 2003-20 Deutsche Bank Securities Inc. and its affiliates (equities fixed income securities etc)
- PTE 2003-21 Arizona Machinery Group Inc. (customer notes)
- PTE 2003-09 Metropolitan Life Insurance Co. (notes)
- PTE 2002-47 Investor Savings Bank Pension Plan (stock)
- PTE 2002-36 The Banc Funds Co. LLC (bank equities debt instruments etc)
- PTE 2002-10 Rollover IRA for Brenda A Moran (stock)
- PTE 2002-04 Kimball International Inc. Retirement Plan (stock)
- PTE 2001-42 Columbia Savings Plan (stock appreciation income linked securities)
- PTE 2001-38 The Savings Plan for Employees of Florida Progress Corp. (contingent value obligations)
- PTE 2001-30 JPMorgan Chase and Co. and its affiliates (index linked securities)
- PTE 2001-11 Salomon Smith Barney Inc. et al (debt securities)
- PTE 2001-02 Care Services Employees 401(k) Profit Sharing Plan and Trust (bonds and common stock)
- PTE 2000-67 Butler Johnson Corp. Profit Sharing Plan (residential mortgage notes)
- PTE 2000-63 Merrill Lynch and Co. Inc. (index linked securities)
- PTE 2000-50 IRA FBO Floyd A Ross (stock)
- PTE 2000-37 The Banc Funds Co. LLC (bank equities debt instruments etc)
- PTE 1999-37 Modern Woodmen of America Employees Savings Plan (commercial mortgages)
- PTE 1999-28 Gaetano Lombardo IRA (stock)
- PTE 1999-27 Western Petroleum Co. Profit Sharing Plan (stock)
- PTE 1999-26 Hanson Operating Co. Inc. Defined Benefit Pension Plan (stock)
- PTE 1999-12 State Street Bank and Trust Co. (fractional amounts of fixed income instruments)
- PTE 1999-10 Genito Urinary Surgeons Inc. Profit Sharing Plan (stock)
- PTE 1999-09 Bankers Trust Co. (fractional amounts of fixed income instruments)
- PTE 1999-06 Hummel Gibson et al IRAs (stock)
- PTE 1999-05 Brune Glowacki et al IRAs (stock)
- PTE 1999-02 Toledo Clinic Inc. Employees 401(k) and Profit Sharing Plan (stock)
- PTE 1998-59 IRAs for William N Albright Victor Hamre and Richard Pearson (stock)
- PTE 1998-50 John B Vick DDS PA Pension Plan (notes)
- PTE 1998-39 William M Hitchcock SERP (DB) (stock)
- PTE 1998-38 IRAs for Roark Young Russell Rice et al (stock)
- PTE 1997-65 Valley Forge Consulting Corp. Profit Sharing Trust (mortgage note)
- PTE 1997-58 Carl Callaway IRA (stock)
- PTE 1997-55 Bloom Consulting Corp. Profit Sharing Plan (stock)
- PTE 1997-48 Martin D Ross IRA (debentures)
- PTE 1997-45 Ronald L Chez IRA and Lawrence G Kuntz IRA (stock)
- PTE 1997-22 General Electric Pension Trust (stock)
- PTE 1997-15 The Chicago Corp. (bank equities debt instruments etc)
- PTE 1997-09 Cassemco Inc. Retirement Plan and Trust Agreement (common stock and warrants)
- PTE 1997-07 Pikeville National Bank and Trust Co. Trust Co. of Kentucky and First American Bank (collateralized mortgage obligations and other mortgage backed securities)
- PTE 1997-03 National Baptist Publishing Board Pension Plan (stock)
- PTE 1996-88 First National Bank of Anchorage Common Trust Fund (defaulted real estate mortgages)
- PTE 1996-85 The Chase Manhattan Bank (emerging market securities)
- PTE 1996-32 Coin Acceptors Inc. Savings and Protection Plan (stock)
- PTE 1996-27 IRA Rollover FBO John W Meisenbach (stock)
- PTE 1996-20 Associated Hospital Service of Maine (dba BCBSME) and Blue Alliance Mutual Insurance Co. (US Treasury and agency securities)
- PTE 1996-15 Life Insurance Corp. Retirement Savings Plan (residential mortgage loans)
- PTE 1996-09 Fidelitone Inc. Employees Profit Sharing and Savings Plan and Trust (securities)
- PTE 1996-02 The Chase Manhattan Bank Pooled Investment Trust for Employee Benefit Plans (notes)
- PTE 2018-06 The Grossberg, Fox & Beyda LLP Profit Sharing Plan
- PTE 2015-03 Teamsters Union LU 727 Pension Fund (LLC interests)
- PTE 2012-15 South Plains Financial, Inc. Employee Stock Ownership Plan (LLC interests)
- PTE 2010-23 Carle Foundation Hospital and Affiliates Pension Plan (LP interests)
- PTE 2009-30 Urology Clinics of North Texas PA 401(k) Profit Sharing Plan and Trust (LP interests)
- PTE 2009-05 Brewster Dairy Inc. 401(k) Profit Sharing Plan (LP interests)
- PTE 2009-04 Heico Holding Inc. Pension Plan (LP interests)
- PTE 2002-36 The Banc Funds Co. LLC (LP interests)
- PTE 2001-40 Sierra Health Services Inc. (LP interests)
- PTE 2001-34 Deferred Profit Sharing Plan of the Penske Corp. (LLC interests)
- PTE 2001-09 Trenam Kemker Scharf Barkin Frye O'Neill and Mullis PA Section 401(k) Profit Sharing Plan (LP interests)
- PTE 2001-02 Care Services Employees 401(k) Profit Sharing Plan and Trust (LP interests)
- PTE 2000-37 The Banc Funds Co. LLC (LLC interests)
- PTE 2000-04 TMI Systems Design Corp. Profit Sharing Plan (LP interests)
- PTE 1999-48 Information Systems Development Inc. Employees Profit Sharing Plan (LP interests)
- PTE 1999-18 State Bankshares 401(k) Profit Sharing Plan (LP interests)
- PTE 1998-43 IRAs for Marcia A Hendrichsen Larry L Hendrichsen et al (LLC interests)
- PTE 1998-26 Beer Nuts Inc. Profit Sharing Plan (LP interests)
- PTE 1998-10 MS Commodity Investments Portfolio II LP and Morgan Stanley (LP interests)
- PTE 1997-54 Alloy Die Casting Co. Employees Profit Sharing Plan (LP interests)
- PTE 1997-39 Gart Brothers Sporting Goods Co. 401(k) Plan (LP interests)
- PTE 1997-29 Washington National Retirement Plan (LP interests)
- PTE 1997-26 ADP Fluor Daniel Inc. Retirement Savings Plan (LP interests)
- PTE 1997-21 Orders Distributing Co. Inc. Profit Sharing Plan and 401(k) Retirement Savings Plan (LP interests)
- PTE 1996-79 Huggler and Silverang Profit Sharing Plan (LP interests)
- PTE 1996-31 CCL Label Inc. 401(k) Profit Sharing Plan (LP interests)
- PTE 1996-25 Zausner Foods Corp. Savings Plus Plan (LP interests)
- PTE 1996-16 LEGENT Retirement Security Plan (LP interests)
- PTE 1996-10 Intrenet Employee Retirement Savings Plan (LP interests)
- PTE 1996-06 WLI Industries Inc. Employees Stock Ownership Plan et al (LP interests)
- PTE 1996-05 Retirement and Savings Plan and Trust for Employees of the JH Heafner Co. Inc.(LP interests)
- PTE 2019-03 The Les Schwab Tire Centers of Washington, Inc., the Les Schwab Tire Centers of Boise, Inc., and the Les Schwab Tire Centers of Portland, Inc.
- PTE 2016-04 Plumbers Pension Fund, Local 130, U.A.
- PTE 2016-03 The Michael T. Sewell, M.D. P.S.C. Profit Sharing Plan
- PTE 2015-23 Roberts Supply, Inc. Profit Sharing Plan and Trust
- PTE 2015-18 Les Schwab Tire Centers of Washington, Inc., Les Schwab Tire Centers of Idaho, Inc., & Les Schwab Tire Centers of Portland, Inc.
- PTE 2015-12 Roofers Local 195 Pension Fund and Roofers Local 195 Joint Apprenticeship Training Fund
- PTE 2015-04 Craftsman Independent Union Local #1 Health, Welfare & Hospitalization Trust Fund
- PTE 2015-01 The United Association of Journeymen and Apprentices of the Plumbers and Pipefitters Local Union No. 189 Pension Plan, as Amended
- PTE 2011-24 Oregon-Washington Carpenters Employers Apprenticeship and Training Trust Fund
- PTE 2011-15 United Brotherhood of Carpenters Pension Fund
- PTE 2011-11 H-E-B Brand Savings and Retirement Plan et al
- PTE 2011-09; The Parvin Nahvi, MD, Inc. 401(k) Profit Sharing Plan and Trust
- PTE 2009-15 Schloer Enterprises Inc. 401(k) Profit Sharing Plan
- PTE 2008-11 Pileco Inc. Employees Profit Sharing Plan
- PTE 2008-05 Toeruna Widge IRA
- PTE 2007-16 Victor P Olson Profit Sharing Plan
- PTE 2007-15 Hawaii Emergency Physicians Associated Inc. Profit Sharing Plan
- PTE 2007-06 Kern County Electrical Pension Trust et al
- PTE 2006-04 The Donlar Corp. Profit Sharing Plan
- PTE 2006-03 The Zieger Health Care Corp. Retirement Fund
- PTE 2006-02 Pennsylvania Institute of Neurological Disorders Inc. Profit Sharing Plan
- PTE 2005-10 The North Texas Electrical Joint Apprenticeship and Training Trust Fund
- PTE 2003-34 Hayden O Grona IRA
- PTE 2003-13 Law Offices of Richard D Gorman Pension and Profit Sharing Plan
- PTE 2003-08 GD Castillo MD Ltd. Profit Sharing Plan
- PTE 2003-04 Michigan Conference of Teamsters Welfare Fund
- PTE 2002-56 The Profit Sharing Trust of Dr Ferdinand G Mainolfi
- PTE 2002-38 Unifi Inc. Retirement Savings Plan
- PTE 2002-26 Holt Fleck and Free PA Profit Sharing Plan
- PTE 2001-37 Miller International Inc. Profit Sharing Plan
- PTE 2001-31 Wagner Doxey and Co. Money Purchase Plan
- PTE 2001-29 Gooch Enterprises Inc. Money Purchase Pension Plan
- PTE 2001-27 The Watson and High PA Profit Sharing Plan
- PTE 2001-19 Texas Instruments Employees Pension Plan
- PTE 2001-12 Reagent Chemical and Research Inc. Employees Profit Sharing Plan and Trust
- PTE 2001-03 IRAs for Eldon Nysether and Mark Nysether
- PTE 2000-69 Gillespie Real Estate Professional Corp. Defined Benefit Plan
- PTE 2000-62 Pembroke Construction Co. Inc. Employees 401(k) Profit Sharing Plan
- PTE 2000-54 Richard E Lobenherz Profit Sharing Plan
- PTE 2000-51 Platt Orthopedics Retirement Plan
- PTE 2000-43 Robert P Yoo MD PC Profit Sharing Plan
- PTE 2000-31 H Ray McPhail and H Ray McPhail Profit Sharing Plan
- PTE 2000-24 Foodcraft Inc. Defined Benefit Pension Plan
- PTE 2000-23 Bay Internists Inc. Profit Sharing Plan
- PTE 2000-20 Taylor M Cole IRA Rollover
- PTE 2000-18 Rhode Island Carpenters Local No. 94 Pension Fund the Rhode Island Carpenters Local No. 94 Apprenticeship Fund and the Rhode Island Carpenters Local No. 94 Union
- PTE 2000-16 Cullen Inc. Profit Sharing Plan and Trust and Employees Defined Contribution Plan and Trust
- PTE 2000-08 Anvil Construction Co. Inc. Employees Money Purchase Pension Plan and Employee Profit Sharing Plan et al
- PTE 2000-07 Cassanos Inc. 401(k) Plan and Trust
- PTE 2000-01 South Central New York District Council of Carpenters Pension Fund
- PTE 1999-43 Jonas Builders Inc. Restated Profit Sharing Plan
- PTE 1999-38 MICO Inc.
- PTE 1999-35 HH Borland Inc. Profit Sharing Plan
- PTE 1999-20 VECO Corp.
- PTE 1999-17 Plumbers and Pipe Fitters National Pension Fund et al
- PTE 1999-01 Moody Day Inc. Profit Sharing Plan
- PTE 1998-57 Service Employees International Union Local 252 Welfare Fund
- PTE 1998-45 Kilpatrick Investment Co. Employees Pension Plan
- PTE 1998-37 McClains RV Inc. 401(k) Profit Sharing Plan
- PTE 1998-30 Jack Mayesh Wholesale Florist Inc. Profit Sharing Plan
- PTE 1998-29 Knoxville Surgical Group Qualified Retirement Plan
- PTE 1998-21 Tyson Foods Inc. Employee Profit Sharing Plan and Trust
- PTE 1998-19 Thornton Hegg Reif Johnston and Dolan Profit Sharing Plan and Trust
- PTE 1998-16 Overland Ordal Thorson and Fennell Pulmonary Consultants PC Profit Sharing Plan and Trust
- PTE 1998-09 Jeffrey R Light MD Inc. Profit Sharing Plan
- PTE 1998-05 Robert H Herzog Profit Sharing Plan
- PTE 1998-03 Robert A Doneff Custodial IRA
- PTE 1997-53 McCrosky Feldman Cochrane and Brock PC
- PTE 1997-51 H Weiss and Co. Inc. Defined Benefit Pension Plan
- PTE 1997-50 McLane Co. Inc. Profit Sharing Plan and Trust
- PTE 1997-49 Pension Fund of the Bricklayers and Allied Crafts Local No. 74 of DuPage County et al
- PTE 1997-36 Operating Engineers Local 150 Apprenticeship Fund (the Plan)
- PTE 1997-30 Joint Apprenticeship Committee of Plumbers Local No. 27
- PTE 1997-04 Summit Sheet Metal Inc. Defined Benefit Pension Plan
- PTE 1996-93 Beall Corp. 401I(k) Profit Sharing Plan
- PTE 1996-91 IBEW Local Union 613 Local 613 Defined Contribution Pension Fund
- PTE 1996-89 John A Colglazier Self Employment Retirement Plan
- PTE 1996-83 Operating Engineers Local 150 Apprenticeship Fund
- PTE 1996-78 Zerhusen and Ghazi MD Inc. Profit Sharing Plan
- PTE 1996-71 Normike Industries Inc. Profit Sharing Plan
- PTE 1996-65 Bill Ussery Motors Inc. Fourth Amended and Restated Profit Sharing Plan and Trust
- PTE 1996-51 Puckett Machinery Co. Profit Sharing Plan
- PTE 1996-43 Pierre W Mornell MD A Sole Proprietorship Defined Benefit Plan
- PTE 1996-37 Budge Clinic Profit Sharing Plan and Trust
- PTE 1996-33 Gail L Belt Self Employed Retirement Plan
- PTE 1996-25 Zausner Foods Corp. Savings Plus Plan
- PTE 1996-24 Biscayne Bay Pilots Inc. Money Purchase Pension Plan and Biscayne Bay Pilots Inc. 401(k) Profit Sharing Plan
- PTE 1996-18 HEB Investment and Retirement Plan
- PTE 1996-13 Pediatric Dentistry Ltd. Profit Sharing Trust
- PTE 2011-10 William W. Etherington IRA
- PTE 2010-28 John D. Simmons Individual Retirement Account
- PTE 2009-29 Iron Workers Local 17 Pension Fund
- PTE 2006-14 The Little Rock Diagnostic Clinic PA Profit Sharing Plan
- PTE 2003-03 Reagent Chemical and Research Inc. Employees Profit Sharing Plan and Trust
- PTE 2002-40 Watkins Master Trust
- PTE 2002-39 Grant of Individual Exemption to amend and replace PTE 1985-131 involving the Watkins Master Trust
- PTE 2002-11 IRA of Howard E Adkins
- PTE 2000-67 Butler Johnson Corp. Profit Sharing Plan
- PTE 2000-64 The David Mandelbaum IRA Rollover Account
- PTE 1998-55 John Taylor Fertilizers Co. Profit Sharing Plan
- PTE 1996-61 The SUP Welfare Plan
- PTE 2005-11 UNITE National Retirement Fund
- PTE 1998-61 John Hancock Mutual Life Insurance Co.
See also Purchases by Plans of Real Property and Leaseback
- PTE 2006-03 The Zieger Health Care Corporation Retirement Fund
- PTE 2005-01 JCO Inc. Retirement Plan and Trust
- PTE 2002-54 J Penner Corp. Profit Sharing Plan
- PTE 1997-38 Robert A Benz and Co. PA CPAs Employees Profit Sharing Plan
- PTE 2013-05 EquiLend Holdings LLC
- PTE 2002-30 EquiLend Holdings LLC
- PTE 2003-18 Skandinaviska Enskilda Banken AB
Lending of Client Plan Securities by Lending Agent to affiliated Borrower and Receipt of Compensation by Lending Agent
- PTE 2010-16 Morgan Stanley and Co. Inc. et al
- PTE 2009-11 Amendment to PTE 1999-34 involving the Chase Manhattan Bank/JPMorgan Chase Bank National Association
- PTE 2003-19 Individual Exemption to replace PTE 1997-63 involving State Street Bank and Trust Co.
- PTE 2002-46 Barclays Global Investors NA
- PTE 2002-45 Deutsche Bank AG
- PTE 1999-50 Bankers Trust Co.
- PTE 1999-34 Chase Manhattan Bank
- PTE 1999-21 Citibank NA and Salomon Smith Barney
- PTE 1998-41 Lehman Brothers Inc. and Lehman Brothers Trust Co. and affiliates et al
- PTE 1998-40 Morgan Stanley and Co. Inc. and Morgan Stanley Trust Co.
- PTE 1998-24 Goldman Sachs and Co. and the Goldman Sachs Trust
- PTE 1998-23 Bankers Trust Co.
- PTE 1997-63 State Street Bank and Trust Co.
- PTE 1996-14 Morgan Stanley and Co. Inc. and Morgan Stanley Trust Co.
Exclusive Borrowing Arrangements
- PTE 2009-18 Robert W Baird and Co. Inc.
- PTE 2003-18 Skandinaviska Enskilda Banken AB
- PTE 2002-48 Deutsche Bank AG and its affiliates
- PTE 2002-44 Goldman Sachs and Co.
- PTE 2002-33 Morgan Stanley Dean Witter and Co.
- PTE 2001-41 Barclays Bank PLC and Barclays Capital Inc.
- PTE 1996-56 Smith Barney
- PTE 2001-08 ING Barings LLC
- PTE 1998-32 Union Bank of Switzerland and UBS Securities LLC
Principal Transactions Extensions of Credit and General Securities Lending
- PTE 2005-12 BNP Paribas SA and its French affiliates
- PTE 2002-08 Morgan Stanley Dean Witter and Co. Inc.
- PTE 2001-45 Donaldson Lufkin and Jenrette Securities Corp.
- PTE 2000-61 Maple Partners Financial Group
- PTE 2000-47 Goldman Sachs and Co.
- PTE 1999-45 Donaldson Lufkin and Jenrette Securities Corp.
- PTE 1999-04 Salomon Smith Barney Inc.
- PTE 1998-62 Barclays Bank PLC
- PTE 1997-57 NatWest Securities Corp. et al
- PTE 1997-08 Morgan Stanley and Co. Inc.
- PTE 2007-02 American Maritime Officers Safety and Education Plan et al
- PTE 2011-19 Bank of America, N.A. et al
- PTE 2010-02 State Street Bank and Trust Co.
- PTE 2001-16 New York Life Insurance Co.
- PTE 2000-13 Deutsche Bank AG et al
- PTE 2000-05 Business Mens Assurance Co. of America
- PTE 1999-44 Pacific Life Corp.
- PTE 1999-36 Aetna Inc.
- PTE 1998-17 Metropolitan Life Insurance Co.
- PTE 1996-75 Pacific Mutual Life Insurance Co.
- PTE 2023-20 The Occidental Petroleum Corporation Savings Plan and the Anadarko Employee Savings Plan
- PTE 2023-18 The Liberty Media 401(k) Savings Plan (the Plan) and the Liberty Media 401(k) Savings Plan Trust
- PTE 2023-16 Unit Corporation Employees' Thrift Plan
- PTE 2023-12 The DISH Network Corporation 401(k) Plan and the EchoStar 401(k) Plan (together, the Plans)
- PTE 2018-05 EXCO Resources, Inc. 401(k) Plan
- PTE 2016-09 Sears Holdings 401(k) Savings Plan and the Sears Holdings Puerto Rico Savings Plan (stock rights)
- PTE 2016-07 Liberty Media 401(k) Savings Plan (stock rights)
- PTE 2016-06 Sears Holdings 401(k) Savings Plan and the Sears Holdings Puerto Rico Savings Plan (stock rights)
- PTE 2016-05 Sears Holdings 401(k) Savings Plan and the Sears Holdings Puerto Rico Savings Plan (stock rights)
- PTE 2015-20 Virginia Bankers Association Defined Contribution Plan for First Capital Bank (warrants)
- PTE 2015-13 First Security Group Inc. 401(k) and Employee Stock Ownership Plan (stock rights)
- PTE 2015-02 The Camco Financial & Subsidiaries Salary Savings Plan (warrants)
- PTE 2014-05 Liberty Media 401(k) Savings Plan (stock rights)
- PTE 2014-07 Delaware County Bank and Trust Company Employee 401(k) Retirement Plan (stock rights)
- PTE 2014-08 Home Savings and Loan Company 401(k) Savings Plan (the Plan, United Community Financial Corporation (UCFC), and the Home Savings and Loan Company (stock rights)
- PTE 2013-12 Sears Holdings Savings Plan, Sears Holdings Puerto Rico Savings Plan, and The Lands' End, Inc. Retirement Plan (stock rights)
- PTE 2013-13 AIG, Inc. Incentive Savings Plan, American General Agents' & Managers' Thrift Plan, and Chartis Insurance Company – Puerto Rico Capital Growth Plan (warrants)
- PTE 2013-02 Atlas Energy, Inc. Employee Stock Ownership Plan (stock rights)
- PTE 2013-03 Central Pacific Bank 401(k) Retirement and Savings Plan (stock rights)
- PTE 2012-19 El Paso Corporation Savings Plan (warrants)
- PTE 2012-17 TIB Financial Corp. Employee Stock Ownership Plan (stock rights)
- PTE 2012-07 Genzyme Corporation 401(k) Plan (stock rights)
- PTE 2012-05 HSBC North America (U.S.) Tax Reduction Investment Plan (stock rights)
- PTE 2012-02 First Federal Bancshares of Arkansas, Inc. (stock rights)
- PTE 2011-20 Pacific Capital Bancorp Amended and Restated Incentive and Investment Salary Savings Plan (stock rights)
- PTE 2011-04 Citigroup, Inc. et al (stock rights)
- PTE 2011-03 The West Coast Bancorp 401(k) Plan (stock rights)
- PTE 2009-14 UBS AG (UBS) and its affiliates et al (stock rights)
- PTE 2009-01 Calpine Corp. (warrants)
- PTE 2008-15 Popular Inc. (stock rights)
- PTE 2007-18 Owens Corning Savings Plan and Owens Corning Savings and Security Plan (warrants)
- PTE 2007-17 BSC Services Corp. 401(k) Profit Sharing Plan (stock rights)
- PTE 2007-11 The Revlon Employees Savings Investment and Profit Sharing Plan (stock rights)
- PTE 2006-11 The Revlon Employees Savings Investment and Profit Sharing Plan (stock rights)
- PTE 2005-09 Liberty Media International Inc. (stock rights)
- PTE 2004-03 Lodgian Inc. 401(k) Plan and Trust Agreement (warrants)
- PTE 2003-33 Liberty Media 401(k) Savings Plan (stock rights)
- PTE 2002-43 Chiquita Processed Foods 401(k) Retirement Savings Plan and the Chiquita Savings and Investment Plan (warrants)
- PTE 2002-35 Metropolitan Life Insurance Co. (stock rights)
- PTE 2002-29 Wyndham International Inc. Employee Savings and Retirement Plan (stock rights)
- PTE 2002-02 The Golden Retirement Savings Program and the Golden Retirement Security Program (warrants)
- PTE 2001-43 The FHP International Corp. 401(k) Plan and the FHP International Corp. PAYSOP (stock rights)
- PTE 2001-42 Columbia Savings Plan (stock rights)
- PTE 2001-38 The Savings Plan for Employees of Florida Progress Corp. (stock rights)
- PTE 2001-28 Retirement Plan of Dime Bancorp Inc. et al (warrants)
- PTE 2001-24 ATGI 401(k) Plan (stock rights)
- PTE 2000-09 the FINA Inc. Capital Accumulation Fund (warrants)
- PTE 1998-47 Bernard Chaus Inc. Employee Savings Plan (stock rights)
- PTE 1997-43 First Savings Bank FSB Profit Sharing and Employee Stock Ownership Plan (stock rights)
- PTE 1997-23 Hawaiian Airlines Inc. Pilots 401(k) Plan et al (stock rights)
- PTE 1996-90 The Smith Barney Shearson Prototype Defined Contribution Plan (stock rights)
- PTE 1996-50 San Diego National Bank Deferred Savings Plan (stock rights)
- PTE 1996-46 Jacor Communications Inc. Retirement Plan (warrants)
- PTE 1996-36 Spreckles Industries Inc. Employee Stock Ownership Plan et al (warrants)
- PTE 1996-19 Roses Stores Inc. Retirement Savings 401(k) Plan (warrants)
- PTE 1996-07 Ventura County National Bancorp 401(k) and Employee Stock Ownership Plan (stock rights)
- PTE 2003-31 RBC Dain Rauscher Inc.
- PTE 1998-14 Citibank (South Dakota) NA et al
- PTE 1998-13 MBNA America Bank National Association
- PTE 1998-11 National Rural Utilities Cooperative Finance Corp.
- PTE 2006-01 Edward D Jones and Co. LP
- PTE 2003-11 Deutsche Bank AG
- PTE 2017-07 UBS Assets Management (Americas) Inc.
- PTE 2017-06 Barclays Capital Inc.
- PTE 2017-05 Citigroup, Inc.
- PTE 2017-04 Deutsche Bank AG
- PTE 2017-03 JP Morgan Chase Co.
- PTE 2009-24 United States Steel and Carnegie Pension Fund
- PTE 2009-12 Grant of Individual Exemption to replace PTE 2000-45 involving Citigroup Global Markets Inc. formerly Salomon Smith Barney Inc.
- PTE 2009-11 JPMorgan Chase Bank National Association
- PTE 2007-10 Paul Niednagel IRAs and Lynne Niednagel IRAs
- PTE 2006-03 The Zieger Health Care Corp. Retirement Fund
- PTE 2004-14 Les Olson Co. Inc. Profit Sharing Plan
- PTE 2002-31 Deutsche Bank AG
- PTE 2002-18 Smart Chevrolet Co. Employees Profit Sharing Retirement Plan
- PTE 2001-06 General Motors Investment Corp.
- PTE 2001-05 DuPont Capital Management Corp.
- PTE 2000-60 John L Rust Co. Profit Sharing Plan
- PTE 2000-49 Actuarial Sciences Associates Inc. and ASA Fiduciary Counselors Inc.
- PTE 2000-03 Les Olson Co. Inc. Money Purchase Pension Plan and Les Olson Co. Inc. Profit Sharing Plan
- PTE 1997-52 Smart Chevrolet Co. Employees Profit Sharing Retirement Plan
- PTE 1997-32 The Kenzer Thrift Savings Plan and Trust
- PTE 1996-89 John A Colglazier Self Employment Retirement Plan
- PTE 1996-73 Masters Mates and Pilots Pension Plan and IRA Plan
- PTE 1996-17 General Motors Hourly Rate Employees Pension Plan et al
- PTE 2004-01 United States Steel and Carnegie Pension Fund:
- PTE 2015-19 New England Carpenters Training Fund
- PTE 2015-10 Eli Lily and Company and Elco Insurance Company Limited
- PTE 2013-07 Mo-Kan Teamsters Apprenticeship and Training Fund
- PTE 2013-06 The Coca-Cola Company and Red Re, Inc.
- PTE 2011-13 Ford Motor Company (amendment to PTE 2010-08)
- PTE 2011-12 International Union of Painters and Allied Trades Finishing Trades Institute
- PTE 2010-30 UAW General Motors Company Retiree Medical Benefits Plan, et al
- PTE 2010-29 Boston Carpenters Apprenticeship and Training Fund
- PTE 2010-27 Finishing Trades Institute of the Mid-Atlantic Region
- PTE 2010-18 Boston Carpenters Apprenticeship and Training Fund
- PTE 2010-12 Chrysler LLC
- PTE 2010-08 Ford Motor Co.
- PTE 2009-28 Ford Motor Co. and its affiliates
- PTE 2009-03 General Motors Corp. and its wholly owned subsidiaries
- PTE 2006-19 Kaiser Aluminum Corp. and its subsidiaries
- PTE 2006-12 Retail Clerks Welfare Trust Health and Welfare Plan
- PTE 2006-05 Anchorage Area Pipe Trades 367 Joint Apprenticeship Committee
- PTE 2005-15 Dakotas and Western Minnesota Electrical Workers Apprenticeship Plan
- PTE 2004-06 Painters District Council No. 4 Apprenticeship Upgrading and Retraining Trust Fund
- PTE 2003-25 IBEW Local No. 1 Health and Welfare Fund and Local No. 1 Apprenticeship and Training Fund
- PTE 2003-04 Michigan Conference of Teamsters Welfare Fund
- PTE 2002-05 Alaska UFCW Health and Security Trust Fund
- PTE 2000-65 IBEW LU 567 Electrical Joint Apprenticeship and Training Trust Fund and Money Purchase Retirement Plan of Local 567 IBEW
- PTE 2000-52 Kwik Kopy Corp. Employees Welfare Plan
- PTE 2000-21 Texas Iron Workers and Employers Apprenticeship Training and Journeyman Pension Plan
- PTE 1996-61 The SUP Welfare Plan
- PTE 1996-35 NBD Bancorp
- PTE 2017-01 Rosetree & Company 401(k) Plan and Trust
- PTE 2015-11 Robert A. Handelman Roth IRA No. 2
- PTE 2013-01 UBS Financial Services Inc.
- PTE 2012-18 Ed Laur Defined Benefit Plan
- PTE 2011-10 William W. Etherington IRA
- PTE 2010-28 John D. Simmons Individual Retirement Account
- PTE 2009-17 Individual Retirement Account for Ralph Hartwell et al
- PTE 2008-05 Toeruna Widge IRA
- PTE 2007-19 Middleburg Trust Co.
- PTE 2006-09 The Southwest Gas Corp.
- PTE 2005-17 George N Newton IRA
- PTE 2005-05 RG Dailey Co. Inc. Defined Benefit Plan
- PTE 2005-02 Roy A Herberger Defined Benefit Pension Plan
- PTE 2003-34 Hayden O Grona IRA
- PTE 2002-56 The Profit Sharing Trust of Dr Ferdinand G Mainolfi
- PTE 2002-24 Carl Mundy Jr Defined Benefit Plan
- PTE 2002-11 IRA of Howard E Adkins
- PTE 2002-10 Rollover IRA for Brenda A Moran
- PTE 2001-31 Wagner Doxey and Co. Money Purchase Plan
- PTE 2001-20 THS Profit Sharing Plan
- PTE 2001-03 IRAs for Eldon Nysether and Mark Nysether
- PTE 2000-69 Gillespie Real Estate Professional Corp. Defined Benefit Plan
- PTE 2000-64 The David Mandelbaum IRA Rollover Account
- PTE 2000-54 Richard E Lobenherz Profit Sharing Plan
- PTE 2000-51 Platt Orthopedics Retirement Plan
- PTE 2000-50 IRA FBO Floyd A Ross
- PTE 2000-31 H Ray McPhail and H Ray McPhail Profit Sharing Plan
- PTE 2000-20 Taylor M Cole IRA Rollover
- PTE 2000-02 SandS Partnership Inc. Profit Sharing Plan
- PTE 1999-35 HH Borland Inc. Profit Sharing Plan
- PTE 1999-28 Gaetano Lombardo IRA
- PTE 1999-25 Daniel N Cunningham IRA and the Sidney B Cox IRA
- PTE 1999-06 Hummel Gibson et al IRAs
- PTE 1999-05 Brune Glowacki et al IRAs
- PTE 1998-59 IRAs for William N Albright Victor Hamre and Richard Pearson
- PTE 1998-44 RandJ Hoffman Inc. Profit Sharing Plan
- PTE 1998-43 IRAs for Marcia A Hendrichsen Larry L Hendrichsen et al
- PTE 1998-39 William M Hitchcock SERP (DB) Plan
- PTE 1998-38 IRAs for Roark Young Russell Rice et al
- PTE 1998-34 Karen J Hartley Profit Sharing Plan et al
- PTE 1998-33 Breland Investments Inc. Profit Sharing Plan and Trust
- PTE 1998-27 James E Jordan Sr IRA
- PTE 1998-05 Robert H Herzog Profit Sharing Plan
- PTE 1998-03 Robert Doneff Custodial IRA
- PTE 1997-66 Profit Sharing Keogh Plan of Richard D Wickersham
- PTE 1997-62 Franklin and Davis PC Profit Sharing Plan
- PTE 1997-58 Carl Callaway IRA
- PTE 1997-48 Martin D Ross IRA
- PTE 1997-06 Skana Enterprises Inc. Defined Benefit Pension Plan
- PTE 1996-89 John A Colglazier Self Employment Retirement Plan
- PTE 1996-43 Pierre W Mornell MD A Sole Proprietorship Defined Benefit Plan
- PTE 1996-42 James Flynn and Associates Ltd. Pension Plan
- PTE 1996-40 Herzog, Heine, Geduld, Inc.
- PTE 1996-33 Gail L Belt Self Employed Retirement Plan
- PTE 1996-27 IRA Rollover FBO John W Meisenbach
- PTE 2019-02 Retirement Clearinghouse, LLC
- PTE 2003-02 Brightpoint Inc.
- PTE 1996-42 James Flynn and Associates Ltd. Pension Plan
- PTE 2012-09 BlackRock, Inc. et al
- PTE 2011-17 BlackRock, Inc. et al
- PTE 2008-10 Merrill Lynch and Co. Inc. and BlackRock Inc.
- PTE 2015-08 Wells Fargo Company
- PTE 2010-07 Columbia Management Advisors LLC et al
- PTE 2009-13 The Bank of New York Mellon Corp.
- PTE 2008-16 BlackRock Inc. and the PNC Financial Services Group
- PTE 2008-07 Credit Suisse and its current and future affiliates
- PTE 2007-20 BlackRock Inc. and Merrill Lynch and Co.
- PTE 2007-14 Wells Fargo and Co.
- PTE 2007-03 Bear Stearns Companies Inc. Bear Stearns Asset Management Inc. and Bear Stearns and Co. Inc.
- PTE 2003-24 Deutsche Bank AG JPMorgan Chase Bank and their affiliates
- PTE 2003-22 Lehman Brothers Holding Inc. and Lehman Brothers Inc. et al
- PTE 2000-29 Morgan Stanley Dean Witter
- PTE 2000-28 Citigroup Inc.
- PTE 2000-27 The Chase Manhattan Bank
- PTE 2000-26 Goldman Sachs and Co.
- PTE 2000-25 Morgan Guaranty Trust Co. of New York and JPMorgan Investment Management Inc.
- PTE 2006-10 Massachusetts Mutual Life Insurance Co.
- PTE 2002-55 Fidelity Management Trust Co. and its affiliates
- PTE 2002-01 Key Trust Co. of Ohio
- PTE 2001-35 Riggs Bank NA
- PTE 1996-76 Teachers Insurance and Annuity Association of America
- PTE 2004-02 Bank of America NA
- PTE 2000-32 Triumph Capital Group Inc.
- PTE 1997-42 TA Associates Inc.
- PTE 1997-28 Norwest Investment Services Inc.
- PTE 2011-13 Ford Motor Company (amendment to PTE 2010-08)
- PTE 2010-30 UAW General Motors Company Retiree Medical Benefits Plan, et al
- PTE 2010-12 Chrysler LLC
- PTE 2010-08 Ford Motor Co.
- PTE 2009-03 General Motors Corp. and its subsidiaries
- PTE 2006-19 Kaiser Aluminum Corp. and its subsidiaries
- PTE 2002-07 Ford Motor Co.
- PTE 2000-52 Kwik Kopy Corp. Employees Welfare Plan
- PTE 1998-53 Pacific Income Advisers Inc.
- PTE 1998-51 US West Inc.
- PTE 2023-17 J.P. Morgan Securities LLC, J.P. Morgan Investment Management Inc., J.P. Morgan Advisors (Formerly, J.P. Morgan Securities; JPMS Brokerage), and Chase Wealth Management (Collectively, the Applicants)
- PTE 2013-01 UBS Financial Services Inc.
- PTE 2011-21 BB&T Asset Management, Inc.