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On
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Grant; PTE 1997-35 |
D-10192, L-10193 through L-10196 |
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G: 62 FR 41088 (07/31/97)
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P: 62 FR 7268 (02/18/97)
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ILGWU National Retirement Fund, et al. (collectively, the Plans)
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Permits, effective July 1, 1995, (1) the provision of banking services by the
Amalgamated Bank of New York (the Bank) to certain Plans, which are maintained
on behalf of members of the International Ladies Garment Workers Union; (2) the
purchase by the Plans of certificates of deposit issued by the Bank; and (3) the
deposit of Plans' assets in money market or other deposit accounts established
by the Bank.
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Grant; PTE 1997-64 |
D-10454
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G: 62 FR 66690 (12/19/97)
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P: 62 FR 51693 (10/02/97)
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Crown American Properties L.P. Retirement Savings Plan (the Plan)
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Permits the purchase, holding or sale by participant-directed accounts in the
Plan of shares of Crown American Realty Trust, an affiliate of Crown American
Properties L.P., the Plan's sponsor.
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Grant; PTE 1997-35 |
D-10192, L-10193 through L-10196
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G: 62 FR 41088 (07/31/97)
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P: 62 FR 7268 (02/18/97)
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See summary for the ILGWU Plans under
Provision of Services.
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Grant; PTE 1997-20
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D-10227 - D-10232
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G: 62 FR 17207 (04/09/97)
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P: 61 FR 66314 (12/17/96)
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Real Estate Equity Trust No. 1 (the Trust)
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Permits the purchase of units in the Trust by certain multiemployer pension
plans (the Plans) that will enable State Street Global Advisors, Inc., the
independent fiduciary for the Plans investing in the Trust, to make initial and
subsequent equity investments on behalf of the Trust, in the Cincinnati
Development Group Limited Partnership, which may result in a benefit inuring to
Fifth Third Bank, the trustee of the Trust and a party in interest with respect
to the Plans.
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Grant; PTE 1997-14
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D-10364
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G: 62 FR 7279 (02/18/97)
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P: 61 FR 66331 (12/17/96)
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Givens 401(k) Savings and Retirement Plan (the Plan)
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Permits the purchase from the Plan of its interest in a group annuity
contract by Givens, Incorporated, the Plan sponsor.
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Grant; PTE 1997-46 |
D-10416 – D-10420
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G: 62 FR 47053 (09/05/97)
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P: 62 FR 33915 (06/23/97)
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John Hancock Mutual Life Insurance Company
(JH)
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Permits (1) the acquisition by a separate account maintained by JH (the FPGT
Account) from Williamette Industries, Inc. of certain oil and gas rights,
subject to existing leases (the Leases) of such rights to Enerfin Resources
Northwest Limited Partnership, a party in interest with respect to the plans
invested in the FPGT Account; and (2) the continuation of the Leases following
the acquisition by the FPGT Account.
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Grant; PTE 1997-15 |
D-10172
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G: 62 FR 10078 (03/05/97)
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P: 62 FR 1913 (01/14/97)
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The Chicago Corporation (TCC)
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Permits the proposed sale, for cash or other consideration, by the Midwest
Banc Fund IV Group Trust (the FB IV Group Trust) in which employee benefit plans
(the Plans) invest, of certain securities that are held in the BF IV Group Trust
Portfolio, to a party in interest with respect to a participating Plan, where
the party in interest proposes to acquire or merge with a bank company or a
financial services company that issued such securities. Also permits TCC to
receive a performance fee from Plans investing in the BF IV Group Trust.
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Grant; PTE 1997-38 |
D-10398
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G: 62 FR 41092 (07/31/97)
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P: 62 FR 30616 (06/04/97)
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Robert A. Benz & Co., P. A., Certified Public Accountants Employees
Profit Sharing Plan (the Plan)
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Permits both (1) the cash sale of certain real property (the Property) to the
Plan by Robert A. Benz & Co., P.A., Certified Public Accountants (the
Employer), a party in interest with respect to the Plan, and (2) the leaseback
of the Property by the Plan to the Employer.
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Grant; PTE 1997-50 |
D-10340
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G: 62 FR 48672 (09/16/97)
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P: 62 FR 27625 (05/20/97)
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See summary for the McLane Company Plan under
Sale by Plan of Real Property.
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Grant; PTE 1997-25 |
D-10295 - D-10297
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G: 62 FR 27623 (05/20/97)
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P: 62 FR 1921 (01/14/97)
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See summary for the Hughes Plans under
Lease by Plan of Real
Property.
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Grant; PTE 1997-13 |
D-10318
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G: 62 FR 7278 (02/18/97)
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P: 61 FR 59912 (11/25/96)
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GE Capital Investment Advisors, Inc.
(GECIA)
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Permits GECIA to function as a “qualified professional asset manager”
pursuant to Prohibited Transaction Class Exemption 84-14 (PTE 84-14, 49 FR 9494,
March 13, 1984) in spite of its failure to satisfy Section I(g) of PTE 84-14, as
a result of General Electric Company’s ownership interest in them, including
any of their subsidiaries or successors which provides investment advisory,
management or related services and is registered under the Securities and
Exchange Act of 1934, as amended, or the Investment Advisors Act of 1940, as
amended. The exemption is effective as of January 29, 1996.
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Grant; PTE 1997-10 |
D-10351
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G: 62 FR 4813 (01/31/97)
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P: 61 FR 64161 (12/03/96)
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PanAgora Asset Management, Inc. (PanAgora)
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Permits PanAgora to function as a “QPAM” under Prohibited Transaction
Exemption 84-14 (PTE 84-14, 49 FR 9494, March 13, 1984) in spite of its failure
to satisfy Section I(g) of that class exemption as a result of its affiliation
with E.F. Hutton & Co., Inc. and Shearson Lehman Brothers, Inc. The
exemption is effective as of September 22, 1989, the date on which PanAgora was
formed.
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Grant; PTE 1997-32 |
D-10391
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G: 62 FR 31631 (06/10/97)
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P: 62 FR 17213 (04/09/97)
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See summary for the Kenzer Plan under
Restorative Payments.
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Grant; PTE 1997-20 |
D-10227 - D-10232
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G: 62 FR 17207 (04/09/97)
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P: 61 FR 66314 (12/17/96)
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See summary for the Real Estate Equity Trust under
Purchase by Plan of Other Assets.
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Grant; PTE 1997-63 |
D-10159 |
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G: 62 FR 66689 (12/19/97)
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P: 62 FR 51684 (10/02/97)
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See summary for State Street under Securities Lending – “Plan A”-Type
Arrangement.
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Grant; PTE 1997-60
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D-10319
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G: 62 FR 59744 (11/04/97)
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P: 62 FR 41433 (08/01/97)
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See summary for TCW Group Inc., et al. under
Asset Allocation Services.
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Grant; PTE 1997-59
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D-10393
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G: 62 FR 58749 (10/30/97)
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P: 62 FR
47060 (09/05/97)
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AEW Capital Management, L.P. (AEW)
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Supersedes Prohibited Transaction Exemption 93-40 (58 FR 34821, June 29,
1993). Permits the replacement of Old AEW with an entity known as "AEW
Capital Management, L.P." Provides conditional relief that is identical to
that provided by PTE 93-40, i.e.,
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(1) the payment of certain initial investment
fees and disposition fees to AEW by employee benefit plans for which AEW
provides investment management services (the Client Plans), pursuant to an
investment agreement between entered into between AEW and the Client Plans,
either individually, through the establishment of a single client separate
account, or collectively, as participants in a multiple client commingled
account (the Multiple Client Account); and (2) any investment by a Client Plan
in a Multiple Client Account managed by AEW.
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Grant; PTE 1997-47 |
D-10422 |
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G: 62 FR 47053 (09/05/97)
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P: 62 FR 33917 (06/23/97)
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AmSouth Bank of Alabama (AmSouth)
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Permits the receipt of fees by AmSouth from the AmSouth Mutual Funds, or any
other diversified open-end investment companies registered under the Investment
Company Act of 1940 (the Funds), for acting as an investment adviser for the
Funds as well as for providing other services to the Funds which are “Secondary
Services.”
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Grant; PTE 1997-27 |
D-10369 |
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G: 62 FR 27623 (05/20/97)
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P: 62 FR 4803 (01/31/97)
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See summary for TSW under In Kind Purchase.
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Grant; PTE 1997-16 |
D-10234 and D-10235 |
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G: 62 FR 10080 (03/05/97)
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P: 61 FR 66320 (12/17/96)
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O: 62 FR 18817 (04/17/97) (Tech.
Corr.)
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See summary for US Trust under In Kind Purchase.
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Grant; PTE 1997-12 |
D-10014 |
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G: 62 FR 7275 (02/18/97)
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P: 61 FR 64150 (12/03/96)
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See summary for Wells Fargo under Asset Allocation Services.
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Grant; PTE 1997-61 |
D-09685 |
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G: 62 FR 62620 (11/24/97)
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P: 62 FR 37299 (07/11/97)
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EBP Life Insurance Company, et al.
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Permits the reinsurance of risks and the receipt of premiums therefrom by
EBPLife Insurance Company in connection with certain stop-loss policies issued
by unrelated third party insurance carriers to employers any of whose employees
were covered by various employee welfare benefit plans, when at the time EBPLife
reinsured risks and received premiums, Affiliates of EBPLife or the predecessors
of such Affiliates also provided non-discretionary administrative services to
such Plans for a fee.
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Grant; PTE 1997-37 |
D-10390
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G: 62 FR 41092 (07/31/97)
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P: 62 FR 18806 (04/17/97)
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See summary for the Roquette Plan under
Loan to Plan.
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Grant; PTE 1997-32 |
D-10391
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G: 62 FR 31631 (06/10/97)
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P: 62 FR 17213 (04/09/97)
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The Kenzer Corporation Thrift Savings Plan and Trust (the Plan)
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Permits (1) the "restoration payment" to the Plan by The Kenzer
Corporation (the Employer), in respect of certain defaulted notes, and (2) the potential
future receipt by the Employer of "recapture payments" from the Plan.
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Grant; PTE 1997-07 |
D-10079 - D-10082
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G: 62 FR 4810 (01/31/97)
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P: 61 FR 57461 (11/06/96)
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See summary for the Pikeville National Bank, et al. under
Sale by Plan of
Other Securities.
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Grant; PTE 1997-61 |
D-09685
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G: 62 FR 62620 (11/24/97)
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P: 62 FR 37299 (07/11/97)
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See summary for EBP Life Insurance Company, et al. under
Reinsurance.
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Grant; PTE 1997-50 |
D-10340
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G: 62 FR 48672 (09/16/97)
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P: 62 FR 27625 (05/20/97)
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See summary for the McLane Company Plan under
Sale by Plan of Real Property.
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Grant; PTE 1997-48 |
D-10451
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G: 62 FR 47056 (09/05/97)
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P: 62 FR 39030 (07/21/97)
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See summary for the Martin D. Ross IRA under
Sale by Plan of Other Assets.
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Grant; PTE 1997-44 |
D-10346
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G: 62 FR 47050 (09/05/97)
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P: 62 FR 33911 (06/23/97)
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See summary for 1st Source Bank, et
al. under In Kind Purchase.
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Grant; PTE 1997-42 |
D-10314
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G: 62 FR 42839 (08/08/97)
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P: 62 FR 10075 (03/05/97)
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See summary for TA Associates under
Venture Capital Fund.
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Grant; PTE 1997-34 |
D-10245 through D-10246
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G: 62 FR 39021 (07/21/97)
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P: 62 FR 28502 (05/23/97)
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See summary for Prudential Securities Incorporated, et al. under
Asset-Backed
Securities.
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Grant; PTE 1997-33 |
D-10011
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G: 62 FR 33925 (06/23/97)
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P: 61 FR 47205 (09/06/96)
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See summary for Equitable and ERE under
Multiple
Services.
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Grant; PTE 1997-28 |
D-10430
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G: 62 FR 28515 (05/23/97)
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P: 62 FR 18808 (04/17/97)
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See summary for Norwest under Asset-Backed
Securities.
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Grant; PTE 1997-27 |
D-10369
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G: 62 FR 27623 (05/20/97)
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P: 62 FR 4803 (01/31/97)
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See summary for TSW under In Kind Purchase.
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Grant; PTE 1997-23 |
D-10380 - D10382
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G: 62 FR 18802 (04/17/97)
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P: 62 FR 7273 (02/18/97)
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See summary for the Hawaiian Airlines Plans under
Rights Offering.
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Grant; PTE
1997-17 |
D-10344
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G: 62 FR 10084 (03/05/97)
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P: 61 FR 68798 (12/30/96)
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See summary for the Consolidated Lumber Corporation Plan under
Sale by Plan
of Other Assets.
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Grant; PTE 1997-13 |
D-10318
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G: 62 FR 7278 (02/18/97)
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P: 61 FR 59912 (11/25/96)
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See summary for GECIA under QPAM-Type.
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Grant; PTE 1997-10 |
D-10351
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G: 62 FR 4813 (01/31/97)
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P: 61 FR 64161 (12/03/96)
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See summary for PanAgora under QPAM-Type.
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Grant; PTE 1997-07 |
D-10079 - D-10082
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G: 62 FR 4810 (01/31/97)
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P: 61 FR 57461 (11/06/96)
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See summary for the Pikeville National Bank, et al. under
Sale by Plan of
Other Securities.
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Grant; PTE 1997-05 |
D-10376
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G: 62 FR 1926 (01/14/97)
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P: 61 FR 64164 (12/03/96)
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See summary for ST under Asset-Backed
Securities.
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Grant; PTE 1997-02 |
D-10262 - D-10264
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G: 62 FR 1925 (01/14/97)
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P: 61 FR 55322 (10/25/96)
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See summary for the Wayne Obstetrical Group Plans under
Loan by
Plan.
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Grant; PTE 1997-43 |
D-10409
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G: 62 FR 42841 (08/08/97)
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P: 62 FR 30620 (06/04/97)
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First Savings Bank, F.S.B. Profit Sharing and Employee Stock Ownership Plan
(the Plan)
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Permits, effective December 26, 1996, (1) the acquisition by the Plan of
certain stock rights (the Rights) pursuant to a stock rights offering (the
Offering) by Access Anytime Bancorp, Inc., which is the parent corporation of
First Savings Bank, F.S.B., the sponsor of the Plan; (2) the holding of the
Rights by the Plan during the subscription period of the Offering; and (3) the
exercise of certain of the Rights by the Plan.
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Grant; PTE 1997-23 |
D-10380 - D10382
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G: 62 FR 18802 (04/17/97)
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P: 62 FR 7273 (02/18/97)
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Hawaiian Airlines, Inc. Pilot’s 401(k) Plan, et al. (collectively the
Plans)
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Permits (1) the past acquisition by the Plans of certain transferable stock
rights (the Rights) pursuant to a stock rights offering (the Offering) to the
Plans by Hawaiian Airlines, Inc., the sponsor of the Plans; (2) the past holding
of the Rights by the Plans during the subscription period of the Offering; and
(3) the disposition or exercise of the Rights by the Plans. This exemption is
effective with respect to transactions (1) and (2) as of August 7, 1996.
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Grant; PTE 1997-65 |
D-10466
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G: 62 FR 66691 (12/19/97)
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P: 62 FR 54478 (10/20/97)
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Valley Forge Consulting Corporation Profit Sharing Trust (the Plan)
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Permits the proposed sale of a first mortgage note by the
individually-directed account in the Plan of Steven R. Eyer to Mr. Eyer.
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Grant; PTE 1997-48 |
D-10451
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G: 62 FR 47056 (09/05/97)
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P: 62 FR 39030 (07/21/97)
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Martin D. Ross Individual Retirement Account (IRA)
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Permits, effective March 4, 1996, the sale by the IRA of certain debentures
to Mr. Martin D. Ross, a disqualified person with respect to the IRA.
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Grant; PTE 1997-31 |
D-10385
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G: 62 FR 31631 (06/10/97)
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P: 62 FR 18805 (04/17/97)
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Howes Leather Company, Inc. Employee Stock Ownership Plan (the Plan)
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Permits the sale by the Plan of an individual life insurance policy to the
Howes Leather Company, Inc., the sponsor of the Plan.
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Grant; PTE 1997-17 |
D-10344
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G: 62 FR 10084 (03/05/97)
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P: 61 FR 68798
(12/30/96)
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Consolidated Lumber Corporation Pension Plan (the Plan)
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Permits the cash sale by the Plan to Consolidated Lumber Corp., the sponsor
of the Plan, of certain whole life insurance policies issued by Confederation
Life Insurance Company of Canada.
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Grant; PTE 1997-58 |
D-10469
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G: 62 FR 56205 (10/29/97)
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P: 62 FR 47064 (09/05/97)
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Carl Callaway IRA (the IRA)
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Permits the sale or exchange of certain securities by the IRA to Carl M.
Callaway and his wife, Marianna F. Callaway, both disqualified persons with
respect to the IRA.
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Grant; PTE 1997-55 |
D-10440
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G: 62 FR 51911 (10/03/97)
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P: 62 FR 42838 (08/08/97)
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Bloom Consulting Corporation Profit Sharing Plan (the Plan)
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Permits the purchase by the Plan of shares of common stock of the Valley
Forge Corporation from the Martin Bloom Family Trust, a disqualified person with
respect to the Plan.
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Grant; PTE 1997-45 |
D-10359 and D-10360
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G: 62 FR 47053 (09/05/97)
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P: 62 FR 37309 (07/11/97)
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Ronald L. Chez IRA and Lawrence G. Kuntz IRA (collectively the IRAs)
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Permits (1) the sale by the IRAs of certain closely held stock (the Stock) to
Happy Valley Corporation (the Corporation), the issuer of the Stock and an
unrelated third party with respect to the IRAs; and (2) the subsequent
repurchase of the Stock from the Corporation by Messrs. Chez and Kuntz,
fiduciaries and disqualified persons with respect to the IRAs.
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Grant; PTE 1997-22 |
D-10285 - D-10287
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G: 62 FR 18801 (04/17/97)
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P: 61 FR 58241 (11/13/96)
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General Electric Pension Trust (the GE Trust)
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Permits the sale, occurring on July 12, 1996, by the GE Trust of its stock in
AmeriData Technologies, Inc. (AmeriData) to General Electric Capital Corporation
(GECC) and GAC Acquisition I Corporation (GAC), wholly owned subsidiary of GECC,
and both are parties in interest with respect to the GE Trust and affiliates of
General Electric Company, the sponsor of the Trust, in connection with the
merger of GAC and AmeriData.
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Grant; PTE 1997-09 |
D-10350
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G: 62 FR 4813 (01/31/97)
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P: 61 FR 64160 (12/03/96)
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Cassemco, Inc. Retirement Plan and Trust Agreement (the Plan)
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Permits the cash sale by the Plan of certain securities to Cassemco, Inc.,
the sponsoring employer and party in interest with respect to the Plan.
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Grant; PTE 1997-07 |
D-10079 - D-10082
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G: 62 FR 4810 (01/31/97)
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P: 61 FR 57461 (11/06/96)
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Pikeville National Bank & Trust Company; Trust Company of Kentucky; and
First American Bank (collectively, the Banks)
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Permits (1) the cash sales on December 28, 1994 and January 13, 1995, of
certain collateralized mortgage obligations and other mortgage-backed securities
(collectively, the Securities) held by 86 employee benefit plans, Keogh plans
and individual retirement accounts (the Plans) for which the Banks act as
trustee to Pikesville National Corporation (PKVL), a party in interest with
respect to the Plans; (2) the “makewhole” payments made by PKVL to the Plan
on January 20, 1995, in connection with the sale of certain Securities by the
Plans on the open market on November 2, 1994; and (3) the proposed additional
“makewhole” and interest payments to be made by PKVL to the Plans when the
exemption is granted, as a result of (i) the additional amounts owed to such
Plans based on the amortized cost of the Securities at the time of the
transactions in situations where the amortized cost exceeded the outstanding
principal balance of the Securities (plus a reasonable rate of interest on such
amounts) and (ii) the additional accrued but unpaid interest on the Securities
which was owed to the Plans at the time of the sale to PKVL on December 28, 1994
(plus a reasonable rate of interest on such amounts).
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Grant; PTE 1997-03 |
D-10283
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G: 62 FR 1926 (01/14/97)
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P: 61 FR 55324 (10/25/96)
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National Baptist Publishing Board Pension Plan (the Plan)
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Permits the cash sale of common stock of Citizens Savings Bank and Trust
Company, by the Plan to AmeriStar Investments and Trust, a division of First
American National Bank, the Plan’s trustee, and a party in interest with
respect to the Plan.
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Grant; PTE 1997-54 |
D-10439
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G: 62 FR 51911 (10/03/97)
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P: 62 FR 42837 (08/08/97)
62 FR 33924 (06/23/97)
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Alloy Die Casting Co. Employees’ Profit Sharing Plan (the Plan)
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Permits the cash sale by the Plan to Alloy Die Casting Co./W.E. Holmes, Inc.,
the Plan sponsor and a party in interest with respect to the Plan, of units in
the Krupp Insured Plus-II Limited Partnership.
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Grant; PTE 1997-39 |
D-10403
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G: 62 FR 41093 (07/31/97)
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P: 62 FR 30618 (06/04/97)
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Gart Brothers Sporting Goods Company 401(k) Plan (the Plan)
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Permits the cash sale by the Plan of a 5 percent interest in the Hampden
Enterprises Limited Partnership to the Gart Bros. Sporting Goods Company, the
sponsor of the Plan and a party in interest with respect to the Plan.
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Grant; PTE 1997-26 |
D-10307
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G: 62 FR 27623 (05/20/97)
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P: 62 FR 10074 (03/05/97)
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ADP Fluor Daniel, Incorporated Retirement Savings Plan (the Plan)
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Permits the sale by the Plan of two limited partnership interests to ADP
Fluor Daniel, Incorporated, a party in interest with respect to the Plan.
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|
|
Grant; PTE 1997-21 |
D-10341
|
|
G: 62 FR 17209 (04/09/97)
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P: 62 FR 4802 (01/31/97)
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|
Orders Distributing Company, Inc. Profit Sharing Plan and 401(k) Retirement
Savings Plan (the Plan)
|
|
Permits the past sale by the Plan of certain units of limited partnership
interests to Orders Distributing Co., Inc., a party in interest with respect to
the Plan.
|
|
|
|
|
|
|
Grant; PTE 1997-53 |
D-10261
|
|
G: 62 FR 51911 (10/03/97)
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P: 62 FR 41431 (08/01/97)
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|
McCrosky, Feldman, Cochrane & Brock, P.C. (the Plan)
|
|
Permits the cash sale by the Plan of certain improved real property to
McCroskey Development Partnership, a party in interest to the Plan.
|
|
|
Grant; PTE 1997-51 |
D-10402
|
|
G: 62 FR 48673 (09/16/97)
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P: 62 FR 39028 (07/21/97)
|
|
H. Weiss & Company, Incorporated Defined Benefit Pension Plan (the Plan)
|
|
Permits the sale by the Plan of a certain condominium unit to Hanna Weiss, a
party in interest with respect to the Plan.
|
|
|
Grant; PTE 1997-50 |
D-10340
|
|
G: 62 FR 48672 (09/16/97)
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P: 62 FR 27625 (05/20/97)
|
|
McLane Company, Inc. Profit Sharing Plan and Trust (the Plan)
|
|
Permits, effective September 16, 1997, the past sale (the Sale) by the Plan
of two parcels of improved real property to McLane Company, Inc., the Plan
sponsor and a party in interest with respect to the Plan.
|
|
|
Grant; PTE 1997-49 |
D-10310
|
|
G: 62 FR 48672 (09/16/97)
|
P: 62 FR 39027 (07/21/97)
|
|
Pension Fund of the Bricklayers and Allied Crafts, Local No. 74 of DuPage
County, et al.
|
|
Permits the sale of certain real property by the Bricklayers and Allied
Craftsman Local No. 74 Apprenticeship, Education and Training Trust Fund to the
Pension Plan.
|
|
|
Grant; PTE 1997-36 |
L-10280
|
|
G:
62 FR 41092 (07/31/97)
|
P: 62 FR 18803 (04/17/97)
|
|
Operating Engineers Local 150, Apprenticeship Fund (the Plan)
|
|
Permits the sale of a certain parcel of improved real property from the Plan
to International Union of Operating Engineers, Local 150, a party in interest
with respect to the Plan.
|
|
|
Grant; PTE 1997-30 |
L-10366
|
|
G: 62 FR 31631 (06/10/97)
|
P: 62 FR 18804 (04/17/97)
|
|
Joint Apprenticeship Committee of Plumbers Local No. 27 (the Plan)
|
|
Permits the sale by the Plan of certain improved real property located in
Allegheny County, Pennsylvania to the Local Union No. 27 of the United
Association of Journeymen and Apprentices of the Plumbing and Pipe Fitting
Industry of the United States and Canada, a party in interest with respect to
the Plan.
|
|
|
Grant; PTE 1997-04 |
D-10330
|
|
G: 62 FR 1926 (01/14/97)
|
P: 61 FR 59914 (11/25/96)
|
|
Summit Sheet Metal, Inc. Defined Benefit Pension Plan (the Plan)
|
|
Permits the cash sale by the Plan of certain real property to Messrs. Milton
J. Chasin, Donald E. Hanson, and Gale N. Searing, parties in interest with
respect to the Plan.
|
|
|
|
|
|
|
Grant; PTE 1997-63 |
D-10159
|
|
G: 62 FR 66689 (12/19/97)
|
P: 62 FR 51684 (10/02/97)
|
|
State Street Bank and Trust Company (State Street)
|
|
Permits (1) the lending of securities to State Street, acting through its
Financial Markets Group (FMG) or acting through any other division or U.S.
affiliate of State Street that is a successor to the activities of FMG; (2) the
lending of securities to any U.S. registered broker-dealers affiliated with
State Street by employee benefit plans, including commingled investment funds
holding plan assets for which State Street, through its Master Trust Services
Division, acts as directed trustee or custodian, and for which State Street,
through its Global Securities Lending Division (GSL) or any other similar
division of State Street or U.S. affiliate of State Street or its parent acts as
securities lending agent; and (3) the receipt of compensation by GSL in
connection with the transactions.
|
|
|
|
|
|
|
Grant; PTE 1997-57 |
D-10464 and D-10465
|
|
G: 62 FR 56203 (10/29/97)
|
P: 62 FR 47060 (09/05/97)
|
|
NatWest Securities Corporation (NatWest), et al.
|
|
Permits, effective May 22, 1997, (1) the purchase or sale of a security
between an employee benefit plan and a broker-dealer affiliated with NatWest and
subject to British law (the NatWest/UK Affiliate); (2) the lending of securities
that are assets of an employee benefit plan to a NatWest/UK Affiliate; and (3)
any extension of credit to an employee benefit plan by a NatWest/UK Affiliate to
permit the settlement of securities transactions or in connection with the
writing of options contracts.
|
|
|
Grant; PTE 1997-08 |
D-10108
|
|
G: 62 FR 4811 (01/31/97)
|
P: 61 FR 58237 (11/13/96)
|
|
Morgan Stanley & Co. Incorporated (Morgan Stanley & Co.)
|
|
Permits, effective August 25, 1995, (1) the purchase or sale of a security
between an employee benefit plan and a broker-dealer affiliated with Morgan
Stanley & Co. and subject to British law (MSC/UK Affiliate); (2) the lending
of securities that are assets of an employee benefit plan to an MSC/UK
Affiliate; and (3) any extension of credit to an employee benefit plan by an MSC/UK
Affiliate to permit the settlement of securities transactions or in connection
with the writing of options contracts.
|
|
|
|
|
|
|
|
|
Grant; PTE 1997-62 |
D-10450
|
|
G: 62 FR 62622 (11/24/97)
|
P: 62 FR 51692 (10/02/97)
|
|
See summary for the Franklin & Davis, Plan under
Loan by Plan.
|
|
|
Grant; PTE 1997-58 |
D-10469
|
|
G: 62 FR 56205 (10/29/97)
|
P: 62 FR 47064 (09/05/97)
62FR 47064 (09/05/97)
|
|
See summary for the Carl Callaway IRA under
Sale by Plan of Other Assets.
|
|
|
Grant; PTE 1997-48 |
D-10451
|
|
G: 62 FR 47056 (09/05/97)
|
P: 62 FR 39030 (07/21/97)
|
|
See summary for the Martin D. Ross IRA under
Sale by Plan of Other Assets.
|
|
|
Grant; PTE 1997-06 |
D-10342
|
|
G: 62 FR 1929 (01/14/97)
|
P: 61 FR 59915 (11/25/96)
|
|
See summary for the Skana Enterprises Plan under
Loan by Plan.
|
|
|
|
|
|
|
Grant; PTE 1997-42 |
D-10314
|
|
G: 62 FR 42839 (08/08/97)
|
P: 62 FR 10075 (03/05/97)
|
|
TA Associates, Inc. (TA Associates)
|
|
Permits, effective December 29, 1993,
the making, by an employee benefit plan (the Plan), of
capital contributions to any venture capital fund (the
TA Fund) that is organized, sponsored and/or managed by
TA Associates and/or any of its affiliates pursuant to a
contractual obligation by a Plan having an interest in
the TA Fund.
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