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On
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Grant; PTE 1999-49 |
D-10244 |
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G: 65 FR 532 (01/05/00)
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P: 64 FR 43738 (08/11/99)
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Massachusetts Mutual Life Insurance Company
(MM)
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Permits the sale and/or exchange by MM of a partial or complete interest in
certain properties from its general investment account assets to one or more
separate investment accounts or other types of entities (such as limited
partnerships or limited liability companies) managed by MM or an affiliate which
are deemed to hold plan assets, for which MM receives as consideration cash
and/or a corresponding interest in the separate account or other investment
entities.
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Grant; PTE 1999-42
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D-10671
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G: 64 FR 56812 (10/21/99)
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P: 64 FR 46725 (08/26/99)
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Pacific Coast Roofers Pension Plan
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Permits the making of loans by certain banks (the Banks) under a loan
program providing for loans to Bank customers for residential and commercial
re-roofing jobs that are performed by contributing employers to the Plan,
pursuant to an arrangement in which the Plan will purchase certificates of
deposit issued by the Bank.
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Grant; PTE 1999-36 |
D-10504
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G: 64 FR 52546 (09/29/99)
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P: 64 FR 25916 (05/13/99)
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Aetna Inc.
(Aetna)
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See summary for Aetna under Receipt of
Fees.
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Grant; PTE 1999-36 |
D-10504
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G: 64 FR 52546 (09/29/99)
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P: 64 FR 25916 (05/13/99)
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Aetna Inc. (Aetna)
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See summary for
Aetna under Receipt of Fees.
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Grant; PTE 1999-25
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D-10723 & D-10724
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G: 64 FR 34296 (06/25/99)
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P: 64 FR 25924 (05/13/99)
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Daniel N. Cunningham IRA and the Sidney B. Cox
IRA
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Permits the purchase by each IRA of certain shares
of Clovis Community Bank common stock from Mr. Daniel N. Cunningham and Mr.
Sidney B. Cox, disqualified persons with respect to the IRAs.
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Grant; PTE 1999-10
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D-10630
・D-10632
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G: 64 FR 11045 (03/08/99)
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P: 64 FR 3342 (01/21/99)
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Genito-Urinary
Surgeons, Inc. Profit Sharing Plan
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See summary for the
Plan under Sale by Plan of Other Securities.
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Grant; PTE 1999-05
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D-10636 ・D-10642
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G: 64 FR 4131 (01/27/99)
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P: 63 FR 69319 (12/16/98)
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Brune, Glowacki, et al. IRAs
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See summary for the IRAs under Sale by Plan of Other
Securities.
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Grant; PTE 1999-46 |
D-10514
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G: 64 FR
61944 (11/15/99)
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P: 63 FR 29453 (05/29/98)
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Plumbers and Pipe Fitters National
Pension Fund
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See summary for the Fund under Exchange.
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Grant; PTE 1999-33 |
D-10473 ・D-10476
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G: 64 FR
42723 (08/05/99)
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P: 64 FR 29914 (06/03/99)
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General Motors Hourly Rate Employees Pension Plan, et
al.
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See summary for the Plans under INHAM.
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Grant; PTE 1999-29 |
D-10747
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G: 64 FR 40623 (07/27/99)
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P: 64 FR 30360 (06/07/99)
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Bankers Trust
Company, New York, New York (Bankers Trust); BT Alex. Brown Incorporated (BT
Alex. Brown); and Deutsche Bank AG (Deutsche Bank)
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Temporarily permits Bankers Trust, BT Alex. Brown and Deutsche Bank to
function as a 賭ualified professional asset manager・pursuant to PTE 84-14
(47 FR 56945, December 21, 1982), notwithstanding Bankers Trust痴 failure to
satisfy section I(g) of PTE 84-14 as a result of Bankers Trust痴 convictions
for felonies described in a March 11, 1999 felony information.
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Grant; PTE 1999-49 |
D-10244
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G: 65 FR 532 (01/05/00)
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P: 64 FR 43738 (08/11/99)
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Massachusetts Mutual Life Insurance
Company (MM)
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See summary for MM under
Purchase by Plan of Other Assets.
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Grant; PTE 1999-44 |
D-10257
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G: 64 FR
61136 (11/09/99)
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P: 64 FR 39533 (07/22/99)
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Pacific Life Corporation (Pacific Life)
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See summary for Pacific Life under Synthetic
GICs.
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Grant; PTE 1999-36 |
D-10504
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G: 64 FR 52546 (09/29/99)
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P: 64 FR 25916 (05/13/99)
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Aetna Inc. (Aetna)
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Permits,
effective August 28, 1997, (1) the receipt, directly or indirectly, by a sales
agent, of a sales commission from Aetna in connection with the purchase, with
plan assets, of an insurance contract; (2) the receipt of a sales commission by
Aetna, as a principal underwriter, for a mutual fund registered under the
Investment Company Act of 1940, in connection with the purchase, with plan
assets, of securities issued by such mutual fund (the Aetna Fund); (3) the
effecting by Aetna, as a principal underwriter, of a transaction for the
purchase, with plan assets, of securities issued by an Aetna Fund, and the
effecting by a sales agent of a transaction for the purchase, with plan assets,
of an insurance contract; and (4) the purchase, with plan assets, of an
insurance contract from Aetna. The Department expressed no opinion on whether
the 都ynthetic GICs・offered by Aetna constituted 妬nsurance contracts・
within the meaning of the exemption. Relief is provided from the self-dealing
and conflict of interest provisions of the Act in connection with the sale of
insurance contracts to Plans by fiduciaries. The exemption does not provide
relief from any acts of self-dealing that do not arise directly in connection
with the purchase of specific insurance products. For example, no relief is
provided for any act of self-dealing that may arise in connection with the
ongoing operation or administration of an insurance contract. Also, the relief
provided does not preclude the receipt of Rule 12b-1 fees by Aetna or its
affiliates to the extent that the payment of such fees cannot be functionally
distinguished from the payment of sales commissions in connection with the
purchase, with plan assets, of securities issued by an Aetna Fund.
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Grant; PTE 1999-34 |
D-10694
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G: 64 FR 46419 (08/25/99)
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P: 64 FR 34281 (06/25/99)
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Chase Manhattan Bank (CMB)
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See summary for
CMB under Securities Lending ・撤lan A・・
Type.
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Grant; PTE 1999-32 |
D-9708
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G: 64 FR 42717 (08/05/99)
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P: 64 FR 29895 (06/03/99)
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RREEF America L.L.C. (RREEF)
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See summary for RREEF under
Provision of Services.
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Grant; PTE 1999-21 |
D-10674
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G: 64 FR 28839 (05/27/99)
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P: 64 FR 10493 (03/04/99)
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Citibank, N.A. (Citibank) and Salomon Smith Barney
(SSB)
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See summary for Citibank and SSB under
Securities Lending ・撤lan A・・
Type.
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Grant; PTE 1999-15 |
D-10574
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G: 64 FR 1648 (04/05/99)
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P:
63 FR 60391 (11/09/98)
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Salomon
Smith Barney Inc. (Salomon Smith Barney)
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See summary for Salomon Smith Barney under
Asset
Allocation Services.
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Grant; PTE 1999-13 |
D-10468
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G: 64 FR 16493 (04/05/99)
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P: 64 FR 4132 (01/27/99)
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Wells Fargo Bank, N.A. (Wells Fargo)
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See summary for Wells Fargo under In-Kind
Purchase by Plan.
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Grant; PTE 1999-45 |
D-10772
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G: 64 FR 61138 (11/09/99)
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P: 64 FR 51797 (09/24/99)
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Donaldson, Lufkin
& Jenrette Securities Corporation (DLJ)
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See summary for
DLJ under Securities Lending ・典rio" - Type.
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Grant; PTE 1999-44 |
D-10257
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G: 64 FR 61136 (11/09/99)
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P: 64 FR 39533 (07/22/99)
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Pacific Life Corporation (Pacific
Life)
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See summary for Pacific Life
under Synthetic GICs.
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Grant; PTE 1999-40 |
D-10663 & D-10664
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G: 64 FR 53742 (10/04/99)
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P: 64 FR 25921 (05/13/99)
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UNOVA, Inc. (UNOVA)
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See summary for UNOVA under Lease by Plan of Real
Property.
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Grant; PTE 1999-39 |
L-10643
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G: 64 FR 53735 (10/04/99)
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P: 64 FR 43742 (08/11/99)
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Fleet Bank (RI), National Association (Fleet)
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See summary for the RI and Fleet under
Asset-Backed
Securities.
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Grant; PTE 1999-32 |
D-9708
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G: 64 FR 42717 (08/05/99)
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P: 64 FR 29895 (06/03/99)
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RREEF
America L.L.C. (RREEF)
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See summary for RREEF under
Provision of Services.
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Grant; PTE 1999-37 |
D-10518
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G: 64 FR 52551 (09/29/99)
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P: 64 FR 43740 (08/11/99)
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Modern Woodmen of America Employees・Savings Plan
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See summary for the Plan under Sale by Plan
of Mortgages.
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Grant; PTE 1999-33 |
D-10473 - D-10476
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G: 64 FR 42723 (08/05/99)
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P: 64 FR 29914 (06/03/99)
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General Motors Hourly Rate Employees Pension Plan, et al.
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See summary for the Plans under INHAM.
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Grant; PTE 1999-30 |
D-10669 & D-10670
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G: 64 FR 40626 (07/27/99)
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P: 64 FR 29906 (06/03/99)
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Premier Funding Group,
Inc. Employees Profit Sharing Plan and the Money Purchase Pension Plan for
Employees of Premier Funding Group, Inc.
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See summary for the Plans under
Lease by Plans of Real Property.
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Grant; PTE 1999-29 |
D-10747
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G: 64 FR 40623 (07/27/99)
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P: 64 FR 30360 (06/07/99)
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Bankers Trust Company, New York, New
York (Bankers Trust); BT Alex. Brown Incorporated (BT Alex. Brown); and Deutsche
Bank AG (Deutsche Bank)
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See summary for Bankers Trust, BT Alex. Brown and
Deutsche Bank under QPAM.
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Grant; PTE 1999-23 |
D-10021
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G: 64 FR 34293 (06/25/99)
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P: 64 FR 19807 (04/22/99)
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First Security Corporation (FSC)
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See summary for FSC under In-Kind
Purchase by Plan.
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Grant; PTE 1999-22 |
L-10645
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G: 64 FR 28842 (05/27/99)
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P: 64 FR 3356 (01/21/99)
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Operating Engineers Labor
Union 324 Journeyman and Apprentice Training Fund
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See summary for the Plan under Loan to
Plan.
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Grant; PTE 1999-21 |
D-10674
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G: 64 FR 28839 (05/27/99)
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P: 64 FR 10493 (03/04/99)
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Citibank, N.A. (Citibank) and
Salomon Smith Barney (SSB)
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See summary for Citibank and SSB under
Securities Lending ・撤lan A・・
Type.
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Grant; PTE 1999-19 |
D-10729
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G: 64 FR 24423 (05/06/99)
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P: 64 FR 11063 (03/08/99)
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VonRoll Isola Savings Plan
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See summary for the Plan under Loan to
Plan.
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Grant; PTE 1999-16 |
D-10693
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G:
64 FR 24422 (05/06/99)
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P: 64 FR 7672 (02/16/99)
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Standard Bank Employees
Profit Sharing Plan
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See summary for the Plan under Sale by Plan
of Mortgages.
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Grant; PTE 1999-15 |
D-10574
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G: 64 FR 1648 (04/05/99)
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P: 64 FR 60391 (11/09/98)
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Salomon Smith Barney Inc. (Salomon Smith Barney)
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See summary for
Salomon Smith Barney under Asset
Allocation Services.
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Grant; PTE 1999-14 |
D-10661
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G: 64 FR 16497 (04/05/99)
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P: 63 FR 69314 (12/16/98)
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MONY Life
Insurance Co. (MONY)
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See summary for MONY under Demutualization.
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Grant; PTE 1999-13 |
D-10468
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G: 64 FR 16493 (04/05/99)
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P: 64 FR 4132 (01/27/99)
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Wells Fargo Bank, N.A. (Wells Fargo)
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See summary for Wells Fargo under In-Kind
Purchase by Plan.
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Grant; PTE 1999-12 |
D-10701
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G: 64 FR 11050 (03/08/99)
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P: 64 FR 4144 (01/27/99)
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State Street Bank and
Trust Company (State Street)
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See summary for
State Street under Sale by Plan of Other Securities.
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Grant; PTE 1999-10 |
D-10630 - D-10632
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G:
64 FR 11045 (03/08/99)
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P: 64 FR 3342 (01/21/99)
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Genito-Urinary Surgeons, Inc. Profit Sharing Plan
(GUS Plan)
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See summary for GUS Plan under Sale by Plan of Other
Securities.
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Grant; PTE 1999-09 |
D-10644
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G: 64 FR 7670 (02/16/99)
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P: 63 FR 56224 (10/21/98)
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Bankers Trust Company
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See summary for Bankers Trust Company under
Sale by Plan of Other Securities.
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Grant; PTE 1999-07 |
D-10372
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G: 64 FR 7667 (02/16/99)
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P: 63 FR 65249 (11/25/98)
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Keystone Financial, Inc.
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See summary for Keystone Financial, Inc. under In-Kind
Purchase by Plan.
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Grant; PTE 1999-05 |
D-10636 - D-10642
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G: 64 FR 4131 (01/27/99)
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P: 63 FR 69319 (12/16/98)
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Brune, Glowacki, et al. IRAs
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See summary for the IRAs under Sale by Plan of Other
Securities.
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Grant; PTE 1999-04 |
D-10288
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G: 64 FR 4127 (01/27/99)
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P: 63 FR 53703 (10/06/98)
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Salomon Smith Barney Inc. (SSB)
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See summary for SSB under Securities Lending ・典rio"
- Type.
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Grant; PTE 1999-02 |
D-10633 - D-10635
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G: 64 FR 3319 (01/21/99)
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P: 63 FR 65257 (11/25/98)
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Toledo Clinic, Inc. Employees 401(k) and
Profit Sharing Plan (the T/C Plan), et al.
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See summary for the
T/C Plan under Sale by Plan of Other Securities.
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Grant; PTE 1999-01 |
D-10535
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G: 64 FR 3318 (01/21/99)
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P: 63 FR 60386 (11/09/98)
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Moody-Day, Inc. Profit Sharing Plan
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See summary for Moody-Day, Inc.
Profit Sharing Plan under Sale by Plan of Real Property.
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Grant; PTE 1999-28 |
D-10749
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G: 64 FR 38481 (07/16/99)
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P: 64 FR 29918 (06/03/99)
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Gaetano Lombardo Individual Retirement Account
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Permits the proposed sale by the IRA of 26,306 shares of stock of Courtesy
Manufacturing Company (Courtesy), to Courtesy, a disqualified person with
respect to the IRA.
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Grant; PTE 1999-37 |
D-10518 |
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G: 64 FR 52551 (09/29/99)
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P: 64 FR 43740 (08/11/99)
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Modern Woodmen of America Employees・Savings
Plan
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Permits the past sale, on March 23, 1998, by the
Plan of certain commercial mortgages and bonds to Modern Woodmen of America, the
Plan痴 sponsor and a party in interest with respect to the Plan.
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Grant; PTE 1999-16 |
D-10693 |
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G: 64 FR 24422 (05/06/99)
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P: 64 FR
7672 (02/16/99)
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Standard Bank
Employees Profit Sharing Plan
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Permits,
effective October 1, 1998, the purchases by the Plan of certain residential
mortgage notes from Standard Bank and Trust Company, the Plan sponsor and a
party in interest with respect to the Plan.
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Grant; PTE 1999-37 |
D-10518 |
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G: 64 FR 52551 (09/29/99)
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P: 64 FR 43740 (08/11/99)
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Modern Woodmen of America Employees・Savings
Plan
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See summary for the Plan under Sale by Plan
of Mortgages.
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Grant; PTE 1999-27
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D-10743
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G:
64 FR 38481 (07/16/99)
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P: 64 FR 28836 (05/27/99)
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Western Petroleum Company Profit Sharing
Plan
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Permits the proposed sale by the individual account of James W. Emison in
the Plan of certain closely-held stock to Mr. Emison, a party in interest with
respect to the Plan.
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Grant; PTE 1999-26 |
D-10702 |
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G: 64 FR 38480 (07/16/99)
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P: 64 FR
19815 (04/22/99)
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Hanson Operating
Company, Inc. Defined Benefit Pension Plan
|
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Permits the proposed sale by the plan of certain
closely-held stock to Douglas L. McBride and Basil R. Willis, parties in
interest with respect to the Plan.
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Grant; PTE 1999-12 |
D-10701 |
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G: 64 FR 11050 (03/08/99)
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P: 64 FR 4144 (01/27/99)
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State Street Bank and Trust Company
(State Street)
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Permits, effective January 1, 1999 and ending
three years from the date on which each country joining the European Economic
and Monetary Union converts to the Euro, the sale of fractional amounts of
certain fixed-income instruments to State Street and its affiliates by plans for
which State Street or its affiliates provide fiduciary or other services, as
well as employee benefit plans established and maintained by State Street or its
affiliates.
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Grant; PTE 1999-10 |
D-10630 - D10632 |
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G: 64 FR 11045 (03/08/99)
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P: 64 FR 3342 (01/21/99)
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Genito-Urinary Surgeons, Inc. Profit Sharing Plan (GUS
Plan)
|
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Permits, effective December 1, 1998, (1) the cash sale of certain
shares of preferred stock (the Preferred Stock) issued by TTC Holdings Inc. (TTC)
to TTC, by the individually-directed account of Dr. Gregor Emmert in the GUS
Plan, by the individually-directed account of Mr. Michael J. Rosenberg in the
Rosenberg Plan, and by the individually-directed account of Mr. Robert Savage in
the Savage Plan (collectively, the Accounts); and (2) the subsequent purchase of
certain shares of common stock (the Common Stock) issued by TTC by Messrs.
Emmert, Rosenberg and Savage, in their own name, from TTC pursuant to an
agreement with TTC that the purchase of the Common Stock was to occur
immediately after the sale of the Preferred Stock by the Plans.
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Grant; PTE 1999-09 |
D-10644 |
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G: 64 FR 7670 (02/16/99)
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P: 63 FR 56224 (10/21/98)
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Bankers Trust Company
|
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Permits,
effective January 1, 1999 and ending three years from the date on which each
country joining the European Economic and Monetary Union converts to the Euro,
the sale of fractional amounts (the Fractional Amounts) of certain fixed-income
instruments to Bankers Trust and its affiliates by plans for which Bankers Trust
or its affiliates provide fiduciary or other services, as well as employee
benefit plans established and maintained by Bankers Trust or its affiliates; or
(2) as an alternative to the sale of the Fractional Amounts, the receipt by the
Plans from Bankers Trust of cash equal to the amount that Bankers Trust or its
affiliates receive from the issuer of the fixed-income instrument in lieu of the
Fractional Amount, exclusive of transaction costs, plus accrued interest.
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