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On
This Page
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Grant; PTE 1998-52 |
D-09952 |
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G: 63 FR 60403 (11/09/98)
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P: 63 FR 46245 (08/31/98)
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RREEF America L.L.C. (RREEF)
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Permits, effective November 9, 1998, (1) the provision of certain leasing
services (the Leasing Services) by RREEF's leasing affiliates (the Leasing Affiliates)
to certain accounts (the Accounts) established by RREEF; and (2) the payment of
leasing commissions in connection with the provision of Leasing Services by the
Leasing Affiliates to the Accounts.
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Grant; PTE 1998-35
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D-10546
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G: 63 FR 36943 (07/08/98)
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P: 63 FR 15228 (03/30/98)
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Amalgamated Bank of New York (the Bank)
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Amends PTE 97-35 (62 FR 41088 (July 31, 1997)) involving (1) the provision of
banking services (Banking Services) by the Bank to certain employee benefit
plans (the 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 (CDs) issued by the Bank; and (3) the deposit of Plans'
assets in money market or other deposit accounts established by the Bank.
Permits the transactions described in PTE 97-35 and is generally effective as of
July 1, 1995.
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Grant; PTE 1998-53 |
D-10324
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G: 63 FR 60408 (11/09/98)
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P: 63 FR 38855 (07/20/98)
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Pacific Income Advisers, Inc. (PIA)
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Permits (1) the acquisition, sale or redemption of trust units (the Units) in
the PIA Fixed-Income Group Investment Trust, the PIA Short-Term Group Investment
Trust, the PIA Equity Group Investment Trust, and the PIA Global Group
Investment Trust (each a Trust and collectively, the Trusts), by employee
benefit plans, and Individual Retirement Accounts (IRA's; collectively, the
Plan(s)); and (2) the payment of fees by a Trust to PIA, where PIA is a
fiduciary or other party in interest with respect to a Plan investing in a Trust
and the investment adviser to each of the Trusts.
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Grant; PTE 1998-35
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D-10546
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G: 63 FR 36943 (07/08/98)
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P: 63 FR 15228 (03/30/98)
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See summary for the Amalgamated Bank under Provision of
Services.
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Grant; PTE 1998-27
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D-10550
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G: 63 FR 31532 (06/09/98)
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P: 63 FR 19952 (04/22/98)
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James E. Jordan, Sr. Individual Retirement Account (the IRA)
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Permits the cash purchase by the IRA of a certain promissory note issued by
unrelated parties, which is secured by a first mortgage on certain residential
property, from the James E. Jordan Revocable Trust Agreement, a disqualified
person with respect to the Plan.
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Grant; PTE 1998-17
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D-10412
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G: 63 FR 28415 (04/22/98)
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P: 62 FR 54471 (10/20/97)
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O: 63 FR 28415 (05/22/98) (Tech.
Corr.)
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See summary for MetLife under Synthetic
GICs.
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Grant; PTE 1998-10 |
D-10328 and D-10329
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G: 63 FR 12839 (03/16/98)
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P: 62 FR 62622 (11/24/97)
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MS Commodity Investments Portfolio II, L.P. (the Partnership) and Morgan
Stanley
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Permits, effective April 3, 1996, the acquisition or redemption of units in
the Partnership by certain plans (the Plans or Plan) that invest in the
Partnership, where MSCM, the general partner of the Partnership, and/or its
affiliates are parties in interest and/or disqualified persons with respect to
such Plans.
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Grant; PTE 1998-31 |
D-10577
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G: 63 FR 33731 (06/19/98)
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P: 63 FR 19953 (04/22/98)
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Pipefitters Local Union No. 537 Pension Fund (the Plan)
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Permits the sale of real property to the Plan by Local Union No. 537 of the
United Association of Journeymen and Apprentices of the Plumbing and Pipefitting
Industry of the United States and Canada, a party in interest.
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Grant; PTE 1998-12 |
L-10485
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G: 63 FR 12843 (03/16/98)
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P: 62 FR 62643 (11/24/97)
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Hawaii Laborers' Apprenticeship and Training Trust Fund (the Fund)
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Permits the purchase of a certain parcel of unimproved real property by the
Fund from the Laborers International Union of North America, Local 368, AFL-CIO,
a party in interest with respect to the Trust Fund.
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Grant; PTE 1998-61 |
D-10484
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G: 63 FR 71304 (12/24/98)
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P: 63 FR 635284 (06/29/98)
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John Hancock Mutual Life Insurance Company (JHMLIC)
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Permits the purchases and sales of timber assets between various accounts
that are managed by the Hancock Natural Resource Group, Inc., John Hancock
Timber Resources Corporation, or another affiliate of JHMLIC.
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Grant; PTE 1998-02 |
D-10471
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G: 63 FR 1980 (01/13/98)
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P: 62 FR 59740 (11/04/97)
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See summary for the First Bank System Plan under In Kind Contributions.
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Grant; PTE 1998-60 |
D-10352
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G: 63 FR 71301 (12/24/98)
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P: 63 FR 60389 (10/06/98)
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See summary for Citizens Bank, NH under In Kind
Purchases.
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Grant; PTE 1998-52 |
D-09952
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G: 63 FR 60403 (11/09/98)
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P: 63 FR 46245 (08/31/98)
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See summary for RREEF under Provision of
Services.
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Grant; PTE 1998-49 |
D-10349
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G: 63 FR 56227 (10/21/98)
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P: 63 FR 42068 (08/06/98)
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See summary for Harris Trust under In Kind
Purchases.
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Grant; PTE 1998-46 |
D-10503
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G: 63 FR 53722 (10/06/98)
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P: 63 FR 29443 (05/29/98)
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See summary for Sanwa Bank under In Kind
Purchases.
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Grant; PTE 1998-25 |
D-10410
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G: 63 FR 31528 (06/09/98)
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P: 63 FR 9862 (02/26/98)
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SmartRetirement: The OLDE 401(k) Plan (the Plan)
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Permits, (1) effective October 4, 1996, the past and continuing receipt, by
OLDE Discount Corporation (OLDE Discount), the plan sponsor and a wholly owned
subsidiary of OLDE Financial Corporation, the Plan sponsor, of a portion of
certain distribution fees that are paid by third party mutual funds (the Funds)
to OLDE Discount pursuant to Rule 12b-1 (the 12b-1 Fees) under the Investment
Company Act of 1940 (the 1940 Act) and which are associated with Plan assets
that are invested in the Funds; and (2) the proposed cash rebate of such 12b-1
Fees by OLDE Discount to either the Plan or the individually-directed accounts
of the participants in the Plan.
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Grant; PTE 1998-10 |
D-10328 and D-10329
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G: 63 FR 12839 (03/16/98)
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P: 62 FR 62622 (11/24/97)
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See summary for the MS Commodity Investments Portfolio II, L.P. and Morgan
Stanley under Purchase by Plan of Partnership Interests.
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Grant; PTE 1998-48 |
L-10536 and D-10537 |
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G: 63 FR 53729 (10/06/98)
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P: 63 FR 35289 (06/29/98)
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See summary for the ACRA Plans under Mistake.
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Grant; PTE 1998-42 |
D-10483 |
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G: 63 FR 46240 (08/31/98)
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P: 63 FR 35281 (06/29/98)
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Van Ness Plastic Molding Co., Inc., (the Employer) Employees・Money
Purchase Pension Plan (the Plan)
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Permits (1) the making to the Plan of a restoration payment with respect to
certain defaulted third-party notes (the Notes) by the Employer, a party in
interest with respect to the Plan; and (2) the potential future receipt by the
Employer of recapture payments made to the Plan pursuant to bankruptcy
proceedings involving the issuer/assignor of the Notes.
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Grant; PTE 1998-60 |
D-10352 |
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G: 63 FR 71301 (12/24/98)
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P: 63 FR 60389 (10/06/98)
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See summary for Citizens Bank, NH under In Kind
Purchases.
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Grant; PTE 1998-52 |
D-09952 |
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G: 63 FR 60403 (11/09/98)
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P: 63 FR 46245 (08/31/98)
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See summary for RREEF under Provision of
Services.
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Grant; PTE 1998-51 |
L-09583 |
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G: 63 FR 60399 (11/09/98)
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P: 63 FR 15443 (03/31/98)
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See summary for U S WEST under In Kind Contributions.
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Grant; PTE 1998-49 |
D-10349 |
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G: 63 FR 56227 (10/21/98)
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P: 63 FR 42068 (08/06/98)
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See summary for Harris Trust under In Kind
Purchases.
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Grant; PTE 1998-47 |
D-10606 |
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G: 63 FR 53729 (10/06/98)
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P: 63 FR 42077 (08/06/98)
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See summary for the Bernard Chaus Plan under Rights
Offering.
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Grant; PTE 1998-46 |
D-10503 |
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G: 63 FR 53722 (10/06/98)
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P: 63 FR 29443 (05/29/98)
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See summary for Sanwa Bank under In Kind
Purchases.
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Grant; PTE 1998-45 |
D-10607 |
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G: 63 FR 49611 (09/16/98)
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P: 63 FR 36957 (07/08/98)
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See summary for the Kilpatrick Investment Company Plan under Sale by Plan of
Real Property.
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Grant; PTE 1998-38 |
D-10558, et al. |
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G: 63 FR 42079 (08/06/98)
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P: 63 FR 33725 (06/19/98)
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See summary for the Roark Young, et al. IRAs under Sale by Plan of Other
Securities.
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Grant; PTE 1998-35 |
D-10546 |
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G: 63 FR 36943 (07/08/98)
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P: 63 FR 15228 (03/30/98)
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See summary for the Amalgamated Bank under Provision of
Services.
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Grant; PTE 1998-18 |
L-10527 |
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G: 63 FR 19959 (04/22/98)
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P: 63 FR 9867 (02/26/98)
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See summary for the Consolidated Association of Railroad Employees Health
Care Plan under Lease by Plan of Real Property.
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Grant; PTE 1998-17 |
D-10412 |
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G: 63 FR 28415 (04/22/98)
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P: 62 FR 54471 (10/20/97)
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O: 63 FR 28415 (05/22/98) (Tech.
Corr.)
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See summary for MetLife under Purchase by Plan of Other
Assets.
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Grant; PTE 1998-11 |
D-10394 |
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G: 63 FR 12841 (03/16/98)
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P: 62 FR 62630 (11/24/97)
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See summary for the National Rural Utilities Cooperative Finance Corporation
under Asset-Backed Securities.
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Grant; PTE 1998-10 |
D-10328 and D-10329 |
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G: 63 FR 12839 (03/16/98)
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P: 62 FR 62622 (11/24/97)
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See summary for the MS Commodity Investments Portfolio II, L.P. and Morgan
Stanley under Purchase by Plan of Partnership Interests.
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Grant; PTE 1998-08 |
D-10521 |
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G: 63 FR 8498 (02/19/98)
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P: 62 FR 66672 (12/19/97)
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See summary for PNC under Asset-Backed Securities.
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Grant; PTE 1998-06 |
D-10522 |
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G: 63 FR 3773 (01/26/98)
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P: 62 FR 62642 (11/24/97)
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See summary for the CoreStates GIC and BIC Fund under Sale by Plan of Other
Assets.
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Grant; PTE 1998-04 |
D-10472 |
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G: 63 FR 3772 (01/26/98)
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P: 62 FR 62639 (11/24/97)
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See summary for the Pentair Plan under Sale by Plan of Other
Assets.
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Grant; PTE 1998-25 |
D-10410 |
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G: 63 FR 31528 (06/09/98)
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P: 63 FR 9862 (02/26/98)
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See summary for the OLDE Plan under Receipt of
Fees.
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Grant; PTE 1998-22 |
D-10461, D-10462 and D-10463 |
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G: 63 FR 27329 (05/18/98)
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P: 63 FR 66685 (12/19/97)
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See summary for the Fortunoff Pension Plans under Exchanges.
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Grant; PTE 1998-47 |
D-10606 |
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G: 63 FR 53729 (10/06/98)
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P: 63 FR 42077 (08/06/98)
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Bernard Chaus, Inc. Employee Savings Plan (the Plan)
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Permits, effective December 24, 1997, (1) the past acquisition by the Plan of
certain stock rights (the Rights) pursuant to a stock rights offering (the
Offering) by Bernard Chaus, Inc. (the Employer), the sponsor of the Plan; (2)
the past holding of the Rights by the Plan during the subscription period of the
offering; (3) the past disposition or exercise of the Rights by the Plan; and
(4) the proposed payment by the Employer to the Plan of an amount necessary to
credit Plan accounts of participants affected by an administrative error
relating to Rights which were not exercised or sold prior to the expiration of
the Rights.
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Individual Retirement Accounts (the IRAs) for Marcia A.
Hendrichsen, Larry L. Henderichsen, Lawrence D.
Hendrichsen, and William H. Napier, George Rashid,
Jr., Jake E. Rashid, Carl A. Saunders, and John C. Schuldt (collectively, the
Participants)
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Permits the cash sale of certain membership units in the Catfish Bend
Casinos, LC, by the IRAs to the Participants, disqualified persons with respect
to the IRAs.
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Grant; PTE 1998-17 |
D-10412 |
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G: 63 FR 28415 (04/22/98)
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P: 62 FR 54471 (10/20/97)
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O: 63 FR 28415 (05/22/98) (Tech.
Corr.)
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See summary for MetLife under Purchase by Plan of Other
Assets.
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Grant; PTE 1998-06 |
D-10522 |
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G: 63 FR 3773 (01/26/98)
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P: 62 FR 62642 (11/24/97)
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CoreStates GIC and BIC Fund (the Fund)
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Permits the sale by the Fund of the Fund's remaining interest in two
guaranteed investment contracts of Confederation Life Insurance Company to
CoreStates Bank, N.A., a party in interest with respect to the Fund.
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Grant; PTE 1998-04 |
D-10472 |
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G: 63 FR 3772 (01/26/98)
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P: 62 FR 62639 (11/24/97)
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Pentair Retirement Savings and Stock Incentive Plan (the Plan)
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Permits the past sale by the Plan of the Plan's remaining interest in two
guaranteed investment contracts of Confederation Life Insurance Company to
Pentair, Inc., the sponsoring employer and a party in interest with respect to
the Plan.
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Grant; PTE 1998-59 |
D-10656, 10657 and 10658
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G: 63 FR 69326 (12/16/98)
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P: 63 FR 60389 (11/09/98)
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Individual Retirement Accounts (collectively, the IRAs) for William N.
Albright, Victor Hamre, and Richard Pearson (collectively, the Participants)
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Permits the cash sales of certain shares of stock in the First Community
Bancshares Corp. by each IRA to its respective Participant, a disqualified
person with respect to the IRA.
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Grant; PTE 1998-39 |
D-10605
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G: 63 FR 42080 (08/06/98)
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P: 63 FR 35290 (06/29/98)
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William M. Hitchcock SERP (DB) (the Plan)
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Permits the proposed sale by the Plan of 67,466 shares of stock in Thoratec
Laboratories, Inc. to William M. Hitchcock, a disqualified person with respect
to the Plan.
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Grant; PTE 1998-38 |
D-10558, et al.
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G: 63 FR 42079 (08/06/98)
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P: 63 FR 33725 (06/19/98)
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Individual Retirement Accounts (the IRAs) for Roark Young, Russell Rice, Mary
J. Rice, Bruce Lamchick, Steven McKean and David McKean, and Burton Young
(collectively, the Participants)
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Permits the cash sales, occurring on March 30, 1998, of certain stock by the
IRAs to the Participants, who are disqualified persons with respect to the IRAs.
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Grant; PTE 1998-26 |
D-10531
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G: 63 FR 31532 (06/09/98)
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P: 63 FR 15462 (03/31/98)
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Beer Nuts, Inc. Profit Sharing Plan (the Plan)
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Permits, effective December 30, 1996, the sale by the Plan of certain limited
partnership interests to Beer Nuts, Inc., a party in interest with respect to
the Plan.
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Grant; PTE 1998-58 |
D-10614
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G: 63 FR 69326 (12/16/98)
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P: 63 FR 60389 (11/09/98)
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Mohammad J. Iqbal Employee Profit Sharing Plan and Trust (the Plan)
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Permits the cash sale of 12 Krugerrand gold coins by the individually
directed account in the Plan of Dr. Mohammad J. Iqbal (Dr. Iqbal), to Dr. Iqbal,
a party in interest with respect to the Plan.
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Grant; PTE 1998-21 |
D-10421
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G: 63 FR 27328 (05/18/98)
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P: 63 FR 13693 (03/20/98)
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Tyson Foods, Incorporated Employee Profit Sharing Plan and Trust (the Plan)
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Permits the past sale by the Plan of certain hatcheries, a freezer facility
and office complex, all located in Arkansas, to Tyson Foods, Inc., a party in
interest with respect to the Plan.
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Grant; PTE 1998-57 |
L-10595
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G: 63 FR 69325 (12/16/98)
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P: 63 FR 33726 (06/19/98)
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Service Employees International Union
(SEIU) Local 252 Welfare Fund (the
Fund)
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Permits the sale of certain improved real property located in Wynnewood,
Pennsylvania by the Fund to the SEIU Local 252, a party in interest with respect
to the Fund.
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Grant; PTE 1998-45 |
D-10607
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G: 63 FR 49611 (09/16/98)
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P: 63 FR 36957 (07/08/98)
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Kilpatrick Investment Company Employee痴 Pension Plan (the Plan)
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Permits, effective April 15, 1998, the sale of improved real property by the
Plan to the Kilpatrick Investment Company, a party in interest with respect to
the Plan.
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Grant; PTE 1998-37 |
D-10583
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G: 63 FR 38854 (07/20/98)
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P: 63 FR 27330 (05/18/98)
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McClain痴 RV Inc. 401(k) Profit Sharing Plan (the Plan)
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Permits the sale of certain unimproved real property by the Plan to Larry
McClain, the sole shareholder of McClain痴 R.V., Inc., the sponsor of the Plan
and a party in interest with respect to the Plan.
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Grant; PTE 1998-30 |
D-10524
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G: 63 FR 33731 (06/19/98)
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P: 63 FR 19950 (04/22/98)
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Jack Mayesh Wholesale Florist, Inc. Profit Sharing Plan (the Plan)
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Permits the sale by the Plan of certain unimproved real property to Roy
Dahlson, a party in interest with respect to the Plan.
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Grant; PTE 1998-29 |
D-10506
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G: 63 FR 33731 (06/19/98)
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P: 63 FR 6216 (02/06/98)
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Knoxville Surgical Group Qualified Retirement Plan (the Plan)
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Permits the sale of a medical office condominium by the Plan to Hugh C.
Hyatt, M.D., Richard A. Brinner, M.D., Randal O. Graham, Michael D. Kropilak,
M.D., and P. Kevin Zirkle, M.D., parties in interest with respect to the Plan.
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Grant; PTE 1998-19 |
D-10563
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G: 63 FR 19960 (04/22/98)
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P: 63 FR 9868 (02/26/98)
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Thornton, Hegg, Reif, Johnston & Dolan Profit Sharing Plan and Trust (the
Plan)
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Permits the sale, by the Plan, of certain real property to Robert M. Hegg, a
party in interest with respect to the Plan.
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Grant; PTE 1998-16 |
D-10523
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G: 63 FR 17034 (04/07/98)
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P: 63 FR 6216 (02/06/98)
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Overland, Ordal, Thorson & Fennell Pulmonary Consultants, P.C. Profit
Sharing Plan & Trust (the Plan)
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Permits the cash sale of a certain parcel of real property by the
individually directed account in the Plan of Dr. Eric S. Overland to Dr.
Overland.
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Grant; PTE 1998-09 |
D-10530
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G: 63 FR 8501 (02/19/98)
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P: 62 FR 66684 (12/19/97)
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Jeffrey R. Light, M.D., Inc. Profit Sharing Plan
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Permits the sale by the individual, self-directed account of Jeffrey R.
Light, M.D. within the Plan of two parcels of real property to Jeffrey R. Light,
M.D., a party in interest with respect to the Plan.
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Grant; PTE 1998-05 |
D-10494
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G: 63 FR 3773 (01/26/98)
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P: 62 FR 62641 (11/24/97)
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Robert H. Herzog Profit Sharing Plan (the Plan)
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Permits the cash sale of a certain residential condominium by the Plan to
Robert H. Herzog, a disqualified person with respect to the Plan.
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Grant; PTE 1998-03 |
D-10480
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G: 63 FR 1980 (01/13/98)
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P: 62 FR 54479 (10/20/97)
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Robert A. Doneff Custodial IRA (the IRA)
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Permits the cash sale of a certain parcel of real property by the IRA to
Robert A Doneff, a disqualified person with respect to the IRA.
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Grant; PTE 1998-50 |
D-10578
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G: 63 FR 56231 (10/21/98)
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P: 63 FR 46253 (08/31/98)
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John B. Vick, D.D.S., P.A. Pension Plan (the Plan)
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Permits the cash sale of two promissory notes by the Plan to Dr. John B.
Vick, a party in interest and disqualified person with respect to the Plan.
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Grant; PTE 1998-41 |
D-10327
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G: 63 FR 46238 (08/31/98)
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P: 63 FR 33716 (06/19/98)
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Lehman Brothers Inc. (Lehman) and Lehman Brothers Trust Company and
Affiliates (LBTC), et al.
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Permits (1) the lending of securities to Lehman or to any other US registered
broker-dealer who is an affiliate of Lehman (collectively, the Lehman
Broker-Dealer) by employee benefit plans, including commingled investment funds
holding plan assets, with respect to which the Lehman Broker-Dealer is a party
in interest, or for which LBTC or any other affiliate of the Lehman, acts as
directed trustee or custodian and/or securities lending agent for such Client
Plan; and (2) the receipt of compensation by LBTC in connection with these
transactions.
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Grant; PTE 1998-40 |
D-10429
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G: 63 FR 46241 (08/31/98)
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P: 63 FR 3767 (01/26/98)
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Morgan Stanley & Co. Incorporated (MS&Co) and Morgan Stanley Trust
Company (MSTC) (collectively, MS Broker-Dealers)
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Exemption amends and replaces PTE 96-14 (61 FR 10032, March 12, 1996). The
exemption permits, effective March 12, 1996, (1) the lending of securities to
MS&Co and to any other U.S. registered broker-dealers affiliated with MSTC
or MS&Co by employee benefit plans with respect to which the MS
Broker-Dealer who is borrowing such securities is a party in interest or for
which (a) MSTC acts as directed trustee, (b) MSTC or MS&Co acts as custodian
and securities lending agent, or (c) MSTC or MS&Co acts as noncustodial
securities lending agent; and (2) the receipt of compensation by MSTC or
MS&Co in connection with these transactions. In addition, the exemption
expands the scope of PTE 96-14 and includes references to MS&Co in footnotes
and the general conditions.
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Grant; PTE 1998-24 |
D-10306
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G: 63 FR 29439 (05/29/98)
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P: 63 FR 8489 (02/19/98)
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Goldman Sachs & Co. (Goldman Sachs) and the Goldman Sachs Trust
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Permits, effective July 31, 1996, (1) the past and continued lending of
securities to Goldman Sachs International or any other Goldman Sachs affiliate
based in the United Kingdom (together, GSI), Goldman Sachs, affiliated U.S.
registered broker-dealers of Goldman Sachs, or Goldman Sachs (Japan), by
employee benefit plans, including commingled investment funds holding plan
assets, for which Goldman Sachs Trust Company (GSTC), an affiliate of Goldman
Sachs, acts as securities lending agent (or sub-agent) and; (2) to the receipt
of compensation by the GSTC in connection with these transactions.
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Grant; PTE 1998-23 |
D-10213
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G: 63 FR 29435 (05/29/98)
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P: 63 FR 8482 (02/19/98)
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Bankers Trust Company (Bankers Trust)
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Permits, effective February 16, 1996, (1) the lending of certain securities
to BT Alex, Brown, Inc., Bankers Trust International PLC and Bankers Trust
(Australia) Limited (and their corporate successors), which are affiliates of
Bankers Trust (collectively, the Affiliated Borrowers), by certain employee
benefit plans (including commingled investment funds holding plan assets), for
which Bankers Trust and certain other affiliates of (the BT Group) act as the
directed trustee or custodian or securities lending agent or sub-agent; and (2)
the receipt of compensation by the BT Group in connection with these
transactions.
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Grant; PTE 1998-32 |
D-10459 and D-10460
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G: 63 FR 36958 (07/08/98)
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P: 63 FR 15452 (03/31/98)
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Union Bank of Switzerland (UBS/Swiss) & UBS Securities, LLC
(UBS
Securities)
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Permits (1) the lending of securities to UBS/Swiss, UBS Securities, UBS Ltd.,
UBS Securities Limited and their successors in interest (collectively, the UBS
Borrowers), which are or will be affiliated domestic or foreign broker-dealers
of UBS Securities, by employee benefit plans (the Client Plans), including
commingled investment funds holding plan assets, for which UBS/Swiss, acting
through its New York branch (UBS NY) in connection with securities lending
activities, an affiliate of the proposed UBS Borrowers, may serve as a
securities lending agent, or as a custodian or a directed trustee to Client
Plans, under either of two securities lending arrangements ・撤lan A・or
撤lan B・ and (2) the receipt of compensation by UBS NY in connection with
the transactions.
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Grant; PTE 1998-62 |
D-10486
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G: 63 FR 71307 (12/24/98)
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P: 63 FR 53714 (10/06/98)
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Barclays Bank PLC (Barclays)
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Permits, effective July 31, 1997, (1) the purchase and sale of securities
between Barclays and a bank or a broker-dealer affiliate which is subject to
British law (the Foreign Affiliate), and employee benefits plans (the Plans)
with respect to which Barclays or the Foreign Affiliate is a party in interest,
including options on securities written by the Plan; (2) the extension of credit
to the Plan by Barclays or the Foreign Affiliate to permit the settlement of
securities transactions or in connection with the writing of options contracts
or in connection with the purchase or sale of securities; and (3) the lending of
securities that are the assets of a Plan to Barclays or the Foreign Affiliate.
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Grant; PTE 1998-14 |
D-10313
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G: 63 FR 17027 (04/07/98)
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P: 63 FR 4052 (01/27/98)
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See summary for Citibank (South Dakota), N.A., et al. under Credit Card
Receivables.
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Grant; PTE 1998-13 |
D-10304
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G: 63 FR 17020 (04/07/98)
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P: 63 FR 4038 (01/27/98)
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See summary for the MBNA America Bank, National Association under
Credit Card
Receivables.
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Grant; PTE 1998-11 |
D-10394
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G: 63 FR 12841 (03/16/98)
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P: 62 FR 62630 (11/24/97)
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See summary for the National Rural Utilities Cooperative Finance Corporation
under Asset-Backed Securities.
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Grant; PTE 1998-17 |
D-10412
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G: 63 FR
19955 (04/22/98)
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P: 62 FR 54471 (10/20/97)
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O: 63 FR 28415 (05/22/98) (Tech.
Corr.)
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Metropolitan Life Insurance Company (MetLife)
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Permits, effective April 1, 1997, (1) the purchase or retention by an
employee benefit plan (the Plan); and (2) the sale or continuation by MetLife or
an affiliate, of a synthetic guaranteed investment contract entered into between
the Plan and MetLife under which MetLife guarantees certain amounts.
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Grant; PTE 1998-59 |
D-10656, 10657 and 10658
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G: 63 FR 69326 (12/16/98)
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P: 63 FR 60389 (11/09/98)
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See summary for the IRAs of William N. Albright, et al. under
Sale by Plan of
Other Securities.
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Grant; PTE 1998-44 |
D-10572
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G: 63 FR 49611 (09/16/98)
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P: 63 FR 38859 (07/20/98)
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See summary for the R&J Hoffman, Inc. Plan under Loan by
Plan.
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Grant; PTE 1998-43 |
D-10547
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G: 63 FR 49610 (09/16/98)
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P: 63 FR 42076 (08/06/98)
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See summary for the IRAs of Marcia A. Hendrichsen, et al. under
Sale by Plan
of Other Assets.
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Grant; PTE 1998-39 |
D-10605
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G: 63 FR 42080 (08/06/98)
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P: 63 FR 35290 (06/29/98)
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See summary for the William M. Hitchcock SERP (DB) Plan under
Sale by Plan of
Other Securities.
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Grant; PTE 1998-38 |
D-10558, et al.
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G: 63 FR 42079 (08/06/98)
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P: 63 FR 33725 (06/19/98)
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See summary for the Roark Young, et al. IRAs under Sale by Plan of
Other Securities.
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Grant; PTE 1998-34 |
D-10588 and D-10589
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G: 63 FR 36963 (07/08/98)
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P: 63 FR 27332 (05/18/98)
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See summary for the Karen J. Hartley Plans under Loan by
Plan.
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Grant; PTE 1998-33 |
D-10529
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G: 63 FR 36963 (07/08/98)
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P: 63 FR 29458 (05/29/98)
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See summary for the Breland Investments, Inc. Plan under Loan by
Plan.
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Grant; PTE 1998-27 |
D-10550
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G: 63 FR 31532 (06/09/98)
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P: 63 FR 19952 (04/22/98)
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See summary for the James E. Jordan, Sr. IRA under Purchase by Plan of Other
Assets.
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Grant; PTE 1998-05 |
D-10494
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G: 63 FR 3773 (01/26/98)
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P: 62 FR 62641 (11/24/97)
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See summary for the Robert H. Herzog Profit Sharing Plan under
Sale by Plan
of Real Property.
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Grant; PTE 1998-03 |
D-10480
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G: 63 FR 1980 (01/13/98)
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P: 62 FR 54479 (10/20/97)
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See summary for the Robert Doneff IRA under Sale by Plan
of Real Property.
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Grant; PTE 1998-15 |
D-10436
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G: 63 FR 17034 (04/07/98)
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P: 63 FR 4068 (01/27/98)
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See summary for MassMutual under Acquisitions
or Mergers.
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