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Employee Benefits Security Administration

2002 Individual Exemptions

Chronological Listing

Asset-Backed Securities

PTE 2002-41

D-11077

G: 67 FR 54487 (08/22/02)

P: 67 FR 36028 (05/22/02)

Bear Stearns & Co. Inc., Prudential Securities Inc., et al.

Amends certain of the “Underwriter Exemptions,” which are individual exemptions that provide relief for the origination and operation of certain asset pool investment trusts and the acquisition, holding and disposition by employee benefit plans (the Plans) of certain asset-backed pass-through certificates representing undivided interests in those investment trusts. The amendment permits the trustee of the trust to be an affiliate of the underwriter of the certificates and is effective as of August 23, 2000.

PTE 2002-19

D-11041

G: 67 FR 14979 (03/28/02)

P: 67 FR 2699 (01/18/02)

J.P. Morgan Chase & Co. and its Affiliates (collectively, the Applicants)

Amends, effective March 13, 2002, PTE 90-23 (55 FR 20545, May 17, 1990), issued to J.P. Morgan Securities, Inc.; PTE 90-31 (55 FR 23144, June 6, 1990), issued to Chase Manhattan Bank; and PTE 90-33 (55 FR 23151, June 6, 1990), issued to Chemical Banking Corporation. These exemptions all permitted transactions involving the operation of certain asset pool investment trusts and the acquisition, holding and disposition by employee benefit plans of certificates or debt instruments that are issued by such trusts with respect to which one of the Applicants is the lead underwriter or a co-managing underwriter. The amendment permits the trustee of such investment trust to be an affiliate of the underwriter.

Credit Facility Arrangement

PTE 2002-55

D-10958

G: 67 FR 79655 (12/30/02)

P: 67 FR 62818 (10/08/02)

Fidelity Management Trust Company and Its Affiliates (collectively, Fidelity)

Permits certain lines of credit and the loan and repayment of funds, including accrued interest thereunder, involving certain employee benefit plans with respect to which Fidelity acts as directed trustee, investment manager or other administrative service provider.

PTE 2002-52

D-10986

G: 67 FR 72234 (12/04/02

P: 67 FR 59558 (09/23/02)

Bank of America (BofA)

Permits, effective July 30, 1998, (1) the granting to BofA by the Westbrook Real Estate Fund III, L.P. (the LP), a Delaware Limited Partnership, of a first, exclusive and prior security interest in the capital commitments, reserve amounts and capital contributions (Capital Contributions), whether now owned or after-acquired, of certain employee benefit plans (Plans) investing in the LP; (2) the collateral assignment and pledge by the LP to BofA of its security interest in each Plan’s limited partnership interest, whether now owned or after-acquired; (3) the granting by the LP of a first, exclusive and prior security interest in a borrower collateral account to which all Capital Contributions will be deposited when paid; (4) the proposed granting to BofA by the General Partner of the LP of its right to make calls for cash contributions (Drawdowns) under the LP’s Partnership Agreement, where BofA is the representative of certain lenders (the Lenders) which will fund a so-called “credit facility” providing credit to the LP, and the Lenders are parties in interest with respect to the Plans; and (5) the execution of a partner agreement and estoppel under which the Plans agree to honor the Drawdowns.

PTE 2002-01

D-10762

G: 67 FR 1242 (01/09/02)

P: 66 FR 46830 (09/07/01)

Key Trust Company of Ohio (Key Trust)

Permits (1) the making of interest-free loans to a defined contribution plan (the Plan) by its respective sponsor (the Plan Sponsor) pursuant to the terms of a credit facility arrangement, established by Key Trust and its affiliates (collectively, KeyBank), which enables daily transactions, such as participant investment transfers, distributions or participant loans, in connection with the Plan’s unitized employer stock fund (the Fund) maintained by KeyBank; and (2) the repayment, by the Plan to the Plan Sponsor, of any interest-free loan within 90 days with cash proceeds received from the sale of employer stock held in the Fund.

Demutualization

PTE 2002-42

D-11050

G: 67 FR 56594 (09/04/02)

P: 67 FR 41506 (06/18/02)

Provident Mutual Life Insurance Company (Provident)

Permits (1) the initial issuance, by Provident, of its common stock (Provident Shares) to the conversion agent (the Conversion Agent), as stockholder of record, on behalf of any eligible policyholder of Provident (the Eligible Member), including any Eligible Member which is an employee benefit plan (within the meaning of section 3(3) of the Act), an individual retirement annuity (within the meaning of section 408 or 408A of the Code) or a tax sheltered annuity (within the meaning of section 403(b) of the Code) (each, a Plan), including a Plan sponsored by Provident for Provident employees (a Provident Plan); and (2) the exchange, by the Conversion Agent, of Provident Shares for common stock (Sponsor Class A Shares) issued by Nationwide Financial Services, Inc., or, the receipt of cash or policy credits by an Eligible Member, in exchange for such Eligible Member's membership interest in Provident or in connection with the merger between Provident and the Eagle Acquisition Corporation, a wholly-owned subsidiary of the Sponsor, in accordance with the terms of a plan of conversion (the Plan of Conversion) and merger agreement (the Merger Agreement), adopted by Provident and implemented pursuant to the Pennsylvania Insurance Company Mutual-to-Stock Conversion Act.

In addition, the restrictions of section 406(a)(1)(E) and (a)(2) and section 407(a)(2) of the Act do not apply to the receipt and holding, by a Provident Plan, of Sponsor Class A Shares, whose fair market value exceeds 10 percent of the value of the total assets held by such Plan.

PTE 2002-09

D-10984

G: 67 FR 5316 (02/05/02)

P: 66 FR 49408 (09/27/01)

Prudential Insurance Company of America (Prudential Insurance)

Permits, effective September 27, 2001, (1) the receipt of shares of common stock (the Common Stock) issued by Prudential Financial, Inc. or (2) the receipt of cash or policy credits by any eligible policyholder of Prudential Insurance which is an employee benefit plan (the Plan), including Plans sponsored by Prudential Insurance and/or its affiliates for the benefit of their own employees, in exchange for such Eligible Policyholder's mutual membership interest in Prudential Insurance, pursuant to a plan of conversion adopted by Prudential Insurance and implemented in accordance with section 17:17C-2 of the New Jersey Insurance Law. Also permits, effective September 27, 2001, the receipt and holding, by the Prudential Welfare Plan, of Common Stock whose fair market value exceeds 10 percent of the fair market value of the total assets held by such Plan.

Employer Securities Involved

PTE 2002-42

D-11050

G: 67 FR 56594 (09/04/02)

P: 67 FR 41506 (06/18/02)

See summary for Provident under Demutualization.

PTE 2002-09

D-10984

G: 67 FR 5316 (02/05/02)

P: 66 FR 49408 (09/27/01)

See summary for Prudential Insurance under Demutualization.

Exchange

PTE 2002-07

L-10937

G: 67 FR 2687 (01/18/02)

P: 66 FR 49415 (09/27/01)

See summary for Ford under In Kind Redemptions.

Exercise Of Renewal Options

PTE 2002-53

D-11085

G: 67 FR 72234 (12/04/02)

P: 67 FR 59562 (09/23/02)

See summary for the Raimondo Pension Plan under Lease by Plan of Real Property.

Guaranty/Guarantee

PTE 2002-18

D-11035

G: 67 FR 13371 (03/22/02)

P: 67 FR 2689 (01/18/02)

See summary for the Smart Chevrolet Plan under Loans by Plan.

PTE 2002-08

D-10997

G: 67 FR 2688 (01/18/02)

P: 66 FR 46843 (09/07/01)

See summary for MSDW&Co. under Securities Lending Trio-Type Transactions.

Index And Model-Driven Funds

PTE 2002-27

D-11051

G: 67 FR 36031 (05/22/02)

P: 67 FR 2692 (01/18/02)

Prudential Insurance Company of America and Its Affiliates (collectively, Prudential)

Permits, effective December 13, 2001, the acquisition, holding and disposition of common stock issued by Prudential Financial, Inc. and/or common stock issued by a Prudential affiliate by Index and Model-Driven Funds that are managed by Prudential, in which client-plans of Prudential invest.

PTE 2002-03

D-10954

G: 67 FR 1243 (01/09/02)

P: 66 FR 49400 (09/27/01)

Metropolitan Life Insurance Company (MetLife Insurance) and its Affiliates (collectively, MetLife)

Permits, for the period from December 7, 2000 until January 9, 2002, the acquisition, holding and disposition of the common stock of MetLife, Inc. (the parent of MetLife Insurance) by Index and Model-Driven Funds that are managed by MetLife, in which client-plans of MetLife invest.

In Kind Contribution To Plan

PTE 2002-24

D-11043

G: 67 FR 20836 (04/26/02)

P: 67 FR 9092 (02/27/02)

Carl Mundy, Jr. Defined Benefit Plan (the Plan)

Permits the proposed contribution(s) to the Plan of shares (the Shares) of Schering-Plough Corporation to be received annually by Carl Mundy, Jr., a disqualified person with respect to the Plan, as compensation in the form of Shares in lieu of cash.

In Kind Purchases

PTE 2002-28

D-10869

G: 67 FR 39063 (06/06/02)

P: 66 FR 64464 (12/13/01)

Massachusetts Mutual Insurance Company (MassMutual)

Permits (1) for the period from April 1, 1995 until June 6, 2002 and for the period after June 6, 2002, the purchase, by an employee benefit plan (the Client Plan) (directly or through a single customer or pooled separate account or other pooled vehicle), of shares of one or more diversified open-end management investment companies (Fund or Funds) in exchange for Client Plan assets transferred in-kind to a Fund from a single customer or pooled separate account or other pooled vehicle holding plan assets maintained by MassMutual (a Separate Account), where MassMutual or its affiliate is the Fund's investment adviser and a Client Plan fiduciary; (2) permits, for the period from April 1, 1995 until June 6, 2002 and for the period after June 6, 2002, the receipt of fees by MassMutual from the Funds for acting as an investment adviser for such Funds, as well as for providing other services to the Funds, which are "Secondary Services," in connection with the investment by the Client Plans for which MassMutual serves as a fiduciary in shares of the Funds.

PTE 2002-21

D-11005

G: 67 FR 14988 (03/28/02)

P: 67 FR 5307 (02/05/02)

O: 67 FR 36037 (05/22/02) (Tech. Corr.)

Pacific Investment Management Company LLC (PIMCO)

Permits, effective February 5, 2002, an employee benefit plan (the Plan), whose assets are managed by PIMCO, as trustee, investment manager or discretionary fiduciary, to purchase shares of one or more open-end management investment companies registered under the Investment Company Act of 1940, to which PIMCO or any affiliate of PIMCO serves as an investment adviser and may provide other services, in exchange for securities held by the Plan in an account (the Account) or sub-Account) with PIMCO.

In Kind Redemptions

PTE 2002-20

D-10976

G: 67 FR 14986 (03/28/02)

P: 67 FR 354 (01/03/02)

Union Bank of California (UBOC)

Permits, effective June 15, 2001, certain in kind redemptions by the Union Bank of California Retirement Plan or any other employee benefit plan established by UBOC or an affiliate of UBOC of shares of proprietary mutual funds offered by the HighMark Fund or other investment companies for which HighMark Capital Management, Inc. or an affiliate thereof provides investment advisory or other services.

PTE 2002-07

L-10937

G: 67 FR 2687 (01/18/02)

P: 66 FR 49415 (09/27/01)

Ford Motor Company (Ford)

Permits, effective August 4, 2000, (1) the receipt by the Ford-UAW Benefits Trust (the VEBA) of approximately $2.9 billion of certain securities (the Partnership Securities) pursuant to the redemption by the VEBA of its interest in the Ford Enhanced Investment Partnership and the Ford Super-Enhanced Investment Partnership; and (2) the transfer of the Partnership Securities by the VEBA to Ford in exchange for the transfer of approximately $2.9 billion of certain Ford-owned securities to the VEBA.

Lease By Plan Of Real Property

PTE 2002-54

D-11099

G: 67 FR 72236 (12/04/02)

P: 67 FR 62824 (10/08/02)

J. Penner Corporation Profit Sharing Plan (the Plan)

Permits (1) the sale of certain improved real property (the Property) by Thomas G. Frazier and Carol G. Frazier to their respective participant directed individual investment accounts (the Accounts) in the Plan; and (2) the simultaneous lease of the Property by the Accounts to J. Penner Corporation, the Plan’s sponsor and a party in interest with respect to the Plan.

PTE 2002-53

D-11085

G: 67 FR 72234 (12/04/02)

P: 67 FR 59562 (09/23/02)

A. Raimondo Inc. Pension Plan (the Plan)

Permits, effective May 1, 2002, (1) the past and continued leasing (the Lease) of certain improved real property by the Plan to A. Raimondo Inc. (the Employer), a party in interest with respect to the Plan; and (2) the exercise, by the Employer, of options to renew the Lease, for two additional terms.

Loans By Plan

PTE 2002-18

D-11035

G: 67 FR 13371 (03/22/02)

P: 67 FR 2689 (01/18/02)

Smart Chevrolet Co. Employees’ Profit Sharing Retirement Plan

Temporarily permits, until September 16, 2007, (1) the secured loans by the Plan to Motors Finance Company (Motors), a party in interest with respect to the Plan; and (2) the guaranty of such loans by the individual partners of Motors.

Loan To Plan

PTE 2002-55

D-10958

G: 67 FR 79655 (12/30/02)

P: 67 62818 (10/08/02)

See summary for Fidelity under Credit Facility Arrangement.

PTE 2002-37

D-10959

G: 67 FR 54482 (08/22/02)

P: 67 FR 39051 (06/06/02)

Adams Wood Products, Inc. Profit Sharing Plan (the Plan)

Permits (1) a non-interest bearing loan by Adams Wood Products, Inc. (AWP), the Plan sponsor, to the Plan to reimburse the Plan for losses incurred concerning past investments by the Plan in certain promissory notes (the Notes); and (2) the potential repayment by the Plan to AWP of certain moneys if the Plan recovers any of the investments in the Notes.

PTE 2002-01

D-10762

G: 67 FR 1242 (01/09/02)

P: 66 FR 46830 (09/07/01)

See summary for Key Trust under Credit Facility Arrangement.

Performance Compensation

PTE 2002-36

D-11083

G: 67 FR 51886 (08/09/02)

P: 67 FR 39053 (06/06/02)

See summary for TBFC under Purchase by Plan of Partnership Interest.

Pooled Fund – Mutual Fund

PTE 2002-28

D-10869

G: 67 FR 39063 (06/06/02)

P: 66 FR 64464 (12/13/01)

See summary for Massachusetts Mutual under In Kind Purchases.

PTE 2002-20

D-10976

G: 67 FR 14986 (03/28/02)

P: 67 FR 354 (01/03/02)

See summary for the UBOC under In Kind Redemptions.

PTE 2002-21

D-11005

G: 67 FR 14988 (03/28/02)

P: 67 FR 5307 (02/05/02)

See summary for PIMCO under In Kind Purchases.

PTE 2002-17

D-10961

G: 67 FR 13366 (03/22/02)

P: 66 FR 64472 (12/13/01)

O: 67 FR 14986 (03/28/02) (Tech. Corr.)

See summary for State Farm under Purchase by Plan of Other Assets.

Purchase By Plan Of Employer Securities

PTE 2002-23

D-11017 through D-11023

G: 67 FR 20835 (04/26/02)

P: 67 FR 359 (01/03/02)

Cargill, Incorporated and Associated Companies Salaried Employees’ Pension Plan, et al.

Permits, effective October 18, 1996, (1) the acquisition and holding of certain shares of Cargill, Incorporated common stock (the Common Stock) by the Cargill, Incorporated and Associated Companies Master Trust (the Master Trust); and (2) the acquisition, holding and, where relevant, exercise by the Master Trust of a certain irrevocable put option associated with the Common Stock.

PTE 2002-06

D-10894

G: 67 FR 2686 (01/18/02)

P: 66 FR 46837 (09/07/01)

Brookshire Brothers, Ltd. (Brookshire)

Permits, effective November 19, 1999, the establishment by Brookshire of a minimum price guarantee for the valuation and purchase by Brookshire of “Profit Sharing Stock” owned by the Brookshire Brothers Employee Stock Ownership Plan (the ESOP). (“Profit Sharing Stock” is defined as the 600,182 shares of the common stock of Brookshire’s parent company, which were transferred from Brookshire’s Profit Sharing Plan to the ESOP on November 19, 1999.)

Purchase By Plan Of Other Assets

PTE 2002-50

L-10939

G: 67 FR 69571 (11/18/02)

P: 67 FR 51880 (08/09/02)

Child Health Corporation of America (CHCA)

Permits (1) the purchase, by a welfare plan (the Plan), whose hospital sponsor is a member of CHCA, of third party insurance, through CHCA, the broker of record and a party in interest with respect to such Plan; and (2) the receipt of an insurance sales commission by CHCA from the third party insurance company, in connection with the purchase of an insurance policy with the assets of the Plan.

PTE 2002-17

D-10961

G: 67 FR 13366 (03/22/02)

P: 66 FR 64472 (12/13/01)

O: 67 FR 14986 (03/28/02) (Tech. Corr.)

State Farm Mutual Automobile Insurance Co. and State Farm VP Management Corp. (the Applicants)

Permits, as of May 1, 2001, the purchase or redemption of an institutional class of shares of State Farm mutual funds (the Funds) by pension plans, which are established by: (1) independent contractor agents (the Agents) of State Farm Mutual Automobile Insurance Company or its affiliates, who are also registered representatives of State Farm VP Management Corp, for themselves and their employees; and (2) the family members (the Family Members) of such Agents.

The Applicants determined that the transactions were not covered by PTCE 77-3 (42 FR 18734, April 8, 1974) because the Agents and their Family Members were not affiliated persons of any of the Funds, investment advisers to any of the Funds or principal underwriters of such Funds within the meaning of section 2(a)(3) of the Investment Company Act of 1940. The Applicants also determined that the subject transactions were not covered by PTCE 77-4 (42 FR 18732, April 8, 1974) because the investment adviser of the Funds was not a fiduciary of the Plans. However, because the transactions appeared to parallel the transactions contemplated by PTCEs 77-3 and 77-4, comparable exemptive relief was requested.

Purchase By Plan Of Other Securities

PTE 2002-22

D-10891 through L-10893

G: 67 FR 20834 (04/26/02)

P: 67 FR 5305 (02/05/02)

Connecticut Plumbers and Pipefitters Pension Fund (the Pension Fund); Connecticut Pipe Trades Local No. 777Annuity Fund (the Annuity Fund); and Connecticut Pipe Trades Health Fund (the Health Fund; collectively, the Funds)

Permits, effective September 1, 1999, the purchase (the Purchase) by the Health Fund of the common stock of Employee Benefit Administrators, Inc. From Michael W. Daly and Virginia S. Daly, parties in interest with respect to the Health Fund, and the subsequent reallocation of the Purchase price among the Funds, including “makewhole” payments representing lost earnings in connection with the Purchase.

PTE 2002-16

D-10886

G: 67 FR 13366 (03/22/02)

P: 67 FR 351 (01/03/02)

Morgan Stanley & Co. Incorporated (MS&Co)

Permits, effective September 16, 1998, the acquisition, on behalf of the Central States, Southeast and Southwest Areas Pension Fund (the Fund), of certain Argentine bonds from MS&Co, a party in interest with respect to the Fund, by the Capital Asset Trust, at the direction of Alliance Capital Management L.P., an investment manager for the Fund.

Purchase By Plan Of Partnership Interest

PTE 2002-36

D-11083

G: 67 FR 51886 (08/09/02)

P: 67 FR 39053 (06/06/02)

The Banc Funds Company, LLC (TBFC)

Permits, effective June 19, 2002, (1) the purchase or redemption of interests in the Banc Fund VI L.P. (the Partnership) by employee benefit plans (the Plans) investing in the Partnership, where TBFC, a party in interest with respect to the Plans, is the general partner of MidBanc VI, L.P., which is, in turn, the general partner (the General Partner) of the Partnership;  (2) the sale, for cash or other consideration, by the Partnership of certain securities that are held as Partnership assets to a party in interest with respect to a Plan participating in the Partnership, where the party in interest proposes to acquire or merge with the portfolio company that issued such securities; and (3) the payment to the General Partner, by Plans participating in the Partnership, of an incentive fee which is intended to reward the General Partner for the superior performance of investments in the Partnership.

Purchase By Plan Of Personal Property

PTE 2002-05

L-10896

G: 67 FR 1247 (01/09/02)

P: 66 FR 53637 (10/23/01)

Alaska United Food and Commercial Workers Health and Security Trust Fund (the Plan)

Permits, effective August 1, 2000, the purchase by Plan participants and beneficiaries of prescription drugs from Safeway, Inc., a party in interest with respect to the Plan.

Purchase By Plan Of Real Property

PTE 2002-54

D-11099

G: 67 FR 72236 (12/04/02)

P: 67 FR 62824 (10/08/02)

J. Penner Corporation Profit Sharing Plan (the Plan)

Permits (1) the sale of certain improved real property (the Property) by Thomas G. Frazier and Carol G. Frazier to their respective participant directed individual investment accounts (the Accounts) in the Plan; and (2) the simultaneous lease of the Property by the Accounts to J. Penner Corporation, the Plan’s sponsor and a party in interest with respect to the Plan.

PTE 2002-49

L-10929

G: 67 FR 69570 (11/18/02)

P: 67 FR 51878 (08/09/02)

Twin City Iron Workers Apprenticeship and Training Fund (the Trust Fund)

Permits, effective May 22, 2000, the past purchase of a certain parcel of unimproved real property by the Trust Fund from the Twin City Union No. 512 of Bridge, Structural and Ornamental Workers, Inc., a party in interest with respect to the Trust Fund.

Purchase By Plan Of Real Property Interest

PTE 2002-34

L-10981

G: 67 FR 42080 (06/20/02)

P: 67 FR 20839 (04/26/02)

Louisville Electrical Joint Apprentice and Training Committee Trust Fund (the Fund)

Permits the purchase by the Fund of an interest in a condominium regime from the International Brotherhood of Electrical Workers, Local 369 Building Corporation, a party in interest with respect to the Fund.

Put Option Transactions

PTE 2002-23

D-11017 through D-11023

G: 67 FR 20835 (04/26/02)

P: 67 FR 359 (01/03/02)

See summary for Cargill, Incorporated and Associated Companies Salaried Employees' Pension Plan, et al under Purchase by Plan of Employer Securities.

QPAM-Type

PTE 2002-31

D-11002

G: 67 FR 42072 (06/20/02)

P: 67 FR 15230 (03/29/02)

Deutsche Bank A.G. (Deutsche Bank)

Deutsche Bank was granted relief similar to that provided to a qualified professional asset manager (QPAM) under Prohibited Transaction Class Exemption 84-14 (PTCE 84-14). Deutsche Bank could not rely on the relief provided by PTCE 84-14, because the class exemption does not permit a foreign bank to act as a QPAM. The administrative exemption for Deutsche Bank contains conditions similar to those in PTCE 84-14 and also contains conditions designed to minimize the risks associated with Deutsche Bank's foreign nationality.

Specifically, the exemption permits (1) transactions between parties in interest with respect to a plan and an investment fund in which such plan has an interest, if the assets in which such fund are managed by Deutsche Bank; (2) the sale, leasing, servicing of goods, or the furnishing of services to an investment fund managed by Deutsche Bank by an employer or an affiliate, and the leasing of office or commercial space by such investment fund to an employer or an affiliate where plans sponsored by such employer or an affiliate have an interest in such fund; (3) the leasing of office or commercial space by an investment fund managed by Deutsche Bank to Deutsche Bank or a person who is a party in interest of a plan by virtue of a relationship to Deutsche Bank, as described in section 3(14)(G), (H) or (I) of the Act, or a person not eligible for the general exemption set forth in Part I of the final exemption by reason of the authority to appoint or terminate Deutsche Bank as a manager of any of the plan's assets, or to negotiate the terms of the management agreement with Deutsche Bank (including renewals or modifications thereof) on behalf of such plan, during the one year period preceding the transaction; and (4) the furnishing of services and facilities (and goods incidental thereto) by a place of public accommodation owned by an investment fund which is managed by Deutsche Bank to a party in interest with respect to a plan having an interest in such fund. The exemption is effective from June 12, 2001 through July 27, 2009.

PTE 2002-25

D-11057

G: 67 FR 20836 (04/26/02)

P: 67 FR 9093 (02/27/02)

HSBC Holdings PLC (HSBC)

Permits HSBC Asset Management Americas, Inc., HSBC Asset Management Hong Kong, Ltd., HSBC Bank USA, and any current affiliate of HSBC that is eligible to serve or becomes eligible to serve as a qualified professional asset manager (a QPAM) under PTE 84-14, HSBC itself, if in the future it becomes a QPAM, and any newly-acquired or newly established affiliate of HSBC that is a QPAM or in the future becomes a QPAM, other than Republic New York Securities Corporation (RNYSC), to function as a QPAM, pursuant to the terms and conditions of PTE 84-14, for the period beginning on December 17, 2001, and ending April 26, 2012, solely because of a failure to satisfy Section I(g) of PTE 84-14, as a result of an affiliation with RNYSC.

Receipt Of Fees

PTE 2002-50

L-10939

G: 67 FR 69571 (11/18/02)

P: 67 FR 51880 (08/09/02)

See summary for CHCA under Receipt of Fees.

PTE 2002-48

D-10991

G: 67 FR 62827 (10/08/02)

P: 67 FR 44625 (07/03/02)

See summary for Deutsche Bank under Securities Lending Plan B Type Transactions.

PTE 2002-46

D-10925

G: 67 FR 59569 (09/23/02)

P: 67 FR 9082 (02/27/02)

O: 67 FR 69046 (11/14/02) (Tech. Corr.)

See summary for BGI under Securities Lending Plan A Type Transactions.

PTE 2002-45

D-10924

G: 67 FR 59564 (09/23/02)

P: 67 FR 9070 (02/27/02)

O: 67 FR 69046 (11/14/02) (Tech. Corr.)

See summary for DB under Securities Lending Plan A Type Transactions.

PTE 2002-44

D-11084

G: 67 FR 56597 (09/04/02)

P: 67 FR 44633 (07/03/02)

See summary for Goldman under Securities Lending Plan B Type Transactions.

PTE 2002-36

D-11083

G: 67 FR 51886 (08/09/02)

P: 67 FR 39053 (06/06/02)

See summary for TBFC under Purchase by Plan of Partnership Interest.

PTE 2002-33

D-11048

G: 67 FR 42077 (06/20/02)

P: 67 FR 15241 (03/29/02)

See summary for Morgan Stanley under Securities Lending Plan B Type Transactions.

PTE 2002-28

D-10869

G: 67 FR 39063 (06/06/02)

P: 66 FR 64464 (12/13/01)

See summary for MassMutual under In Kind Purchases.

Repayment Of Loan By Plan

PTE 2002-55

D-10958

G: 67 FR 79655 (12/30/02)

P: 67 62818 (10/08/02)

See summary for Fidelity under Credit Facility Arrangement.

PTE 2002-37

D-10959

G: 67 FR 54482 (08/22/02)

P: 67 FR 39051 (06/06/02)

See summary for the Adams Wood Products Plan under Loan to Plan.

PTE 2002-01

D-10762

G: 67 FR 1242 (01/09/02)

P: 66 FR 46830 (09/07/01)

See summary for Key Trust under Credit Credit Facility Arrangement.

Retroactive

PTE 2002-53

D-11085

G: 67 FR 72234 (12/04/02)

P: 67 FR 59562 (09/23/02)

See summary for the A. Raimondo Plan under Lease by Plan of Real Property.

PTE 2002-52

D-10986

G: 67 FR 72234 (12/04/02)

P: 67 FR 59558 (09/23/02)

See summary for BofA under Credit Facility Arrangement.

PTE 2002-50

L-10939

G: 67 FR 69571 (11/18/02)

P: 67 FR 51880 (08/09/02)

See summary for CHCA under Purchase by Plan of Other Assets.

PTE 2002-49

L-10929

G: 67 FR 69570 (11/18/02)

P: 67 FR 51878 (08/09/02)

See summary for the Twin City Iron Workers Plan under Purchase by Plan of Real Property.

PTE 2002-47

D-10989

G: 67 FR 62827 (10/08/02)

P: 67 FR 51877 (08/09/02)

See summary for the Investor Savings Bank Plan under Sale by Plan of Other Securities.

PTE 2002-44

D-11084

G: 67 FR 56597 (09/04/02)

P: 67 FR 44633 (07/03/02)

See summary for Goldman under Securities Lending Plan B Type Transactions.

PTE 2002-43

D-11063 & D-11064

G: 67 FR 56596 (09/04/02)

P: 67 FR 41513 (06/18/02)

See summary for the Chiquita Plans under Rights Offering.

PTE 2002-41

D-11077

G: 67 FR 54487 (08/22/02)

P: 67 FR 36028 (05/22/02)

See summary for Bear Stearns & Co. Inc. et al. under Asset-Backed Securities.

PTE 2002-40

D-11038

G: 67 FR 54486 (08/22/02)

P: 67 FR 41521 (06/18/02)

See summary for the Watkins Master Trust under Sale by Plan of Leasehold Interests.

PTE 2002-39

D-11036

G: 67 FR 54484 (08/22/02)

P: 67 FR 41517 (06/18/02)

See summary for the Watkins Master Trust under Sale by Plan of Leasehold Interests.

PTE 2002-36

D-11083

G: 67 FR 51886 (08/09/02)

P: 67 FR 39053 (06/06/02)

See summary for TBFC under Purchase by Plan of Partnership Interest.

PTE 2002-35

D-10987

G: 67 FR 51885 (08/09/02)

P: 67 FR 36034 (05/22/02)

See summary for MetLife under Rights Offering.

PTE 2002-33

D-11048

G: 67 FR 42077 (06/20/02)

P: 67 FR 15241 (03/29/02)

See summary for Morgan Stanley under Securities Lending Plan B Type Transactions.

PTE 2002-31

D-11002

G: 67 FR 42072 (06/20/02)

P: 67 FR 15230 (03/29/02)

See summary for Deutsche Bank under QPAM-Type.

PTE 2002-30

D-11026

G: 67 FR 39069 (06/06/02)

P: 67 FR 15237 (03/29/02)

See summary for EquiLend under Securities Lending Electronic Transactions.

PTE 2002-29

D-10912

G: 67 FR 39068 (06/06/02)

P: 67 FR 12062 (03/18/02)

See summary for the Wyndham International Plan under Rights Offering.

PTE 2002-28

D-10869

G: 67 FR 39063 (06/06/02)

P: 66 FR 64464 (12/13/01)

See summary for MassMutual under In Kind Purchases.

PTE 2002-27

D-11051

G: 67 FR 36031 (05/22/02)

P: 67 FR 2692 (01/18/02)

See summary for Prudential under Index and Model-Driven Funds.

PTE 2002-25

D-11057

G: 67 FR 20836 (04/26/02)

P: 67 FR 9093 (02/27/02)

See summary for HSBC under QPAM-Type.

PTE 2002-23

D-11017 through D-11023

G: 67 FR 20835 (04/26/02)

P: 67 FR 359 (01/03/02)

See summary for State Farm under Purchase by Plan of Employer Securities.

PTE 2002-22

D-10891 through L-10893

G: 67 FR 20834 (04/26/02)

P: 67 FR 5305 (02/05/02)

See summary for the Connecticut Plumbers and Pipefitters Plans under Purchase by Plan of Other Securities.

PTE 2002-21

D-11005

G: 67 FR 14988 (03/28/02)

P: 67 FR 5307 (02/05/02)

O: 67 FR 36037 (05/22/02) (Tech. Corr.)

See summary for PIMCO under In Kind Purchases.

PTE 2002-20

D-10976

G: 67 FR 14986 (03/28/02)

P: 67 FR 354 (01/03/02)

See summary for UBOC under In Kind Redemptions.

PTE 2002-19

D-11041

G: 67 FR 14979 (03/28/02)

P: 67 FR 2699 (01/18/02)

See summary for J.P. Morgan under Asset-Backed Securities.

PTE 2002-17

D-10961

G: 67 FR 13366 (03/22/02)

P: 66 FR 64472 (12/13/01)

O: 67 FR 14986 (03/28/02) (Tech. Corr.)

See summary for State Farm, et al. under Purchase by Plan of Other Assets.

PTE 2002-16

D-10886

G: 67 FR 13366 (03/22/02)

P: 67 FR 351 (01/03/02)

See summary for MS&Co under Purchase by Plan of Other Securities.

PTE 2002-15

D-10852

G: 67 FR 13365 (03/22/02)

P: 66 FR 64459 (12/13/01)

See summary for the Rockford Plan under Reversal Transactions.

PTE 2002-09

D-10984

G: 67 FR 5316 (02/05/02)

P: 66 FR 49408 (09/27/01)

See summary for Prudential Insurance under Demutualization.

PTE 2002-08

D-10997

G: 67 FR 2688 (01/18/02)

P: 66 FR 46843 (09/07/01)

See summary for MSDW&Co. under Securities Lending Trio-Type Transactions.

PTE 2002-07

L-10937

G: 67 FR 2687 (01/18/02)

P: 66 FR 49415 (09/27/01)

See summary for Ford under In Kind Redemptions.

PTE 2002-06

D-10894

G: 67 FR 2686 (01/18/02)

P: 66 FR 46837 (09/07/01)

See summary for Brookshire under Purchase by Plan of Employer Securities.

PTE 2002-05

L-10896

G: 67 FR 1247 (01/09/02)

P: 66 FR 53637 (10/23/01)

See summary for the Alaska United Food and Commercial Workers Health and Security Plan under Purchase by Plan of Personal Property.

PTE 2002-03

D-10954

G: 67 FR 1243 (01/09/02)

P: 66 FR 49400 (09/27/01)

See summary for MetLife under Index and Model-Driven Funds.

PTE 2002-02

D-10913 and D-10914

G: 67 FR 1243 (01/09/02)

P: 66 FR 46839 (09/07/01)

See summary for the Golden Retirement Plans under Rights Offering.

Reversal Transactions

PTE 2002-15

D-10852

G: 67 FR 13365 (03/22/02)

P: 66 FR 64459 (12/13/01)

Rockford Corporation 401(k) Retirement Savings Plan (the Plan)

Permits, effective December 30, 1999 until March 15, 2000, an arrangement by Rockford Corporation (Rockford), the Plan sponsor, for the reversal of the original purchase of debt securities (the Debentures) previously issued by Rockford, involving the following transactions affecting the individually-directed accounts in the Plan (the Accounts) of certain Plan participants (the Participants): (1) the purchase, by the Participants, from their Accounts, of the Debentures; (2) the distribution in-kind of the Debentures by the Accounts to the Participants; (3) the rollover of the Debentures, if distributed in-kind to the Participants, into self-directed individual retirement accounts established by the Participants; and (4) any benefit that may have inured to Rockford by not having to repurchase the Debentures held by the Accounts.

Rights Offering

PTE 2002-43

D-11063 & D-11064

G: 67 FR 56596 (09/04/02)

P: 67 FR 41513 (06/18/02)

Chiquita Processed Foods 401(k) Retirement Savings Plan and the Chiquita Savings and Investment Plan (collectively, the Plans)

Permits, effective March 19, 2002, (1) the acquisition and holding by the Plans of certain warrants (the Warrants) to purchase new common stock (the New Common Stock) issued by Chiquita Brands International, Inc., a party in interest with respect to the Plans; and (2) the subsequent exercise of the Warrants, as directed by participants in the Plans.

PTE 2002-35

D-10987

G: 67 FR 51885 (08/09/02)

P: 67 FR 36034 (05/22/02)

Metropolitan Life Insurance Company (MetLife)

Permits, effective January 20, 2000 until May 18, 2000, (1) the holding, by MetLife Separate Account R.I. (the Separate Account), an index fund managed by MetLife which holds plan assets, of 523 shares of common stock (the Common Shares), issued by the Conning Corporation, an affiliate of MetLife; (2) the acquisition, by MetLife, of certain certificates, representing 523 shares of cancelled Conning Common Shares (the Cancelled Conning Shares), from the Separate Account, pursuant to the terms of a tender offer and merger agreement; and (3) the delivery of the certificates representing the 523 Cancelled Conning Shares to ChaseMellon Shareholder Services, LLC, in exchange for certain cash consideration.

PTE 2002-29

D-10912

G: 67 FR 39068 (06/06/02)

P: 67 FR 12062 (03/18/02)

Wyndham International, Inc. Employee Savings & Retirement Plan (the Plan)

Permits the past acquisition, holding and exercise by the Plan of certain stock purchase rights, which were issued by Wyndham International, Inc. (Wyndham) to all shareholders of record, as of September 30, 1999, of certain Wyndham common stock, pursuant to a rights offering.

PTE 2002-02

D-10913 and D-10914

G: 67 FR 1243 (01/09/02)

P: 66 FR 46839 (09/07/01)

The Golden Retirement Savings Program (the Savings Program) and The Golden Retirement Security Program (the Security Program; together, the Plans)

Permits, effective January 27, 2000, the past acquisition and holding by the Savings Program of 1,896.294 publicly traded warrants (the Warrants) and by the Security Program of 2,073.554 Warrants of Golden Books Family Entertainment, Inc., the Plans sponsor and a party in interest with respect to the Plan.

Sale By Plan Of Employer Securities

PTE 2002-32

D-11031

G: 67 FR 42077 (06/20/02)

P: 67 FR 20837 (04/26/02)

Northwoods Bank of Minnesota Employee Stock Ownership Plan (the Plan)

Permits the proposed sale by individual accounts within the Plan of certain shares of common stock of Dorset Bancshares, Incorporated (the Holding Company) to the Holding Company, a party in interest with respect to the Plan.

Sale By Plan Of Leasehold Interests

PTE 2002-40

D-11038

G: 67 FR 54486 (08/22/02)

P: 67 FR 41521 (06/18/02)

Watkins Master Trust (the Trust)

Permits, effective May 8, 2002, the sale by the Trust of its leasehold interests in certain improved real property, consisting of a building, the improvements constructed thereon, and a ground lease, to Wilwat Properties, Inc. (Wilwat), a party in interest with respect to the Trust, in connection with an amendment to an option to purchase provision contained in a written lease between the Trust and Wilwat, as described in PTE 90-15 (55 FR 12967, April 6, 1990). This exemption also replaces PTE 90-15, which expired by operation of law upon the consummation of the sale transaction.

PTE 2002-39

D-11036

G: 67 FR 54484 (08/22/02)

P: 67 FR 41517 (06/18/02)

Watkins Master Trust (the Trust)

Permits, effective May 8, 2002, the sale by the Trust of its leasehold interests in certain real improved real property, consisting of a building, the improvements constructed thereon, and a ground lease, to Watkins Associated Industries, Inc., a party in interest with respect to the Trust, in connection with an amendment to an option to purchase provision contained in a written lease between the Trust and Watkins, as described in Prohibited Transaction Exemption (PTE) 85-131 (50 FR 32333, August 9, 1985). This exemption also replaces PTE 85-131, which expired by operation of law upon the consummation of the sale transaction.

Sale By Plan Of Other Assets

PTE 2002-17

D-10961

G: 67 FR 13366 (03/22/02)

P: 66 FR 64472 (12/13/01)

O: 67 FR 14986 (03/28/02) (Tech. Corr.)

See summary for State Farm, et al. under Purchase by Plan of Other Assets.

Sale By Plan Of Other Securities

PTE 2002-47

D-10989

G: 67 FR 62827 (10/08/02)

P: 67 FR 51877 (08/09/02)

Investor Savings Bank Pension Plan (the Plan)

Permits, effective January 4, 1999, the past sale of certain securities by the Plan to Investors Savings Bank, a party in interest with respect to the Plan.

PTE 2002-36

D-11083

G: 67 FR 51886 (08/09/02)

P: 67 FR 39053 (06/06/02)

See summary for TBFC under Purchase by Plan of Partnership Interest.

PTE 2002-10

D-11015

G: 67 FR 5318 (02/05/02)

P: 66 FR 64478 (12/13/01)

Rollover Individual Retirement Account for Brenda A. Moran (the IRA)

Permits the cash sale of common stock of Bravo Energy, Inc. (Bravo) by the IRA to Bravo, a disqualified person with respect to the IRA.

PTE 2002-04

D-10949

G: 67 FR 1246 (01/09/02)

P: 66 FR 53635 (10/23/01)

O: 67 FR 8823 (02/26/02) (Tech. Corr.)

Kimball, International, Inc. Retirement Plan (the Plan)

Permits the sale by the Plan of stock of SVB&T Corporation (Springs Valley) to Springs Valley, the parent company of the Plan trustee and a party in interest with respect to the Plan.

Sale By Plan Of Real Property

PTE 2002-56

D-11108

G: 67 FR 79657 (12/30/02)

P: 67 FR 69569 (11/18/02)

The Profit Sharing Trust of Dr. Ferdinand G. Mainolfi (the Plan)

Permits the sale of parcels of improved real property by the Plan to Ferdinand G. Mainolfi, a disqualified person with respect to the Plan.

PTE 2002-38

D-11094

G: 67 FR 54483 (08/22/02)

P: 67 FR 39062 (06/06/02)

Unifi, Inc. Retirement Savings Plan (the Plan)

Permits the prospective cash sale of a certain parcel of improved real property by the Plan to Unifi, Inc., the Plan’s sponsor and a party in interest with respect to the Plan.

PTE 2002-26

D-11000

G: 67 FR 36030 (05/22/02)

P: 67 FR 12064 (03/18/02)

Holt, Fleck & Free P.A. Profit Sharing Plan (the Plan)

Permits the cash sale by the Plan to Stephen Holt, a Plan fiduciary, of two parcels of improved real property.

Sale By Plan Of Real Property Interest

PTE 2002-11

D-11025

G: 67 FR 5318 (02/05/02)

P: 66 FR 64478 (12/13/01)

Individual Retirement Account of Howard E. Adkins (the IRA)

Permits the proposed cash sale of an interest in certain real property by the IRA to Moccasin, LLC, a disqualified person with respect to the IRA.

Securities Lending - Electronic Transactions

PTE 2002-30

D-11026

G: 67 FR 39069 (06/06/02)

P: 67 FR 15237 (03/29/02)

EquiLend Holdings LLC (EquiLend)

Permits, effective March 29, 2002, the sale or licensing of certain data and/or analytical tools to an employee benefit plan by EquiLend, a party in interest with respect to such plan. Also permits, effective March 29, 2002, (1) the participation in an EquiLend electronic securities lending platform by an equity owner of EquiLend (an Equity Owner), in its capacity as a securities lending agent for a plan; and (2) the sale or licensing of certain data and/or analytical tools by EquiLend to a plan for which an Equity Owner acts as a securities lending agent.

Securities Lending Plan A Type Transactions

PTE 2002-46

D-10925

G: 67 FR 59569 (09/23/02)

P: 67 FR 9082 (02/27/02)

O: 67 FR 69046 (11/14/02) (Tech. Corr.)

Barclays Global Investors, N.A. (BGI)

Permits (a) the lending of securities to (1) Barclays Capital, Inc., its successors or affiliates; (2) Barclays Capital Securities, Limited, its successors or affiliates; (3) Barclays Global Investor Services, its successors or affiliates; and (4) any future affiliate of BGI, subject to the regulatory requirements applicable to Barclays Capital, Inc., Barclays Capital Securities, Limited and/or Barclays Global Investor Services (the Borrowers), which are domestic or foreign broker-dealers, by employee benefit plans, including commingled investment funds holding plan assets (the Client Plans or Plans), for which BGI, an affiliate of the proposed Borrowers, acts as securities lending agent or subagent and also may serve as trustee, custodian or investment manager of securities being lent; and (b) the receipt of compensation by BGI in connection with these transactions.

PTE 2002-45

D-10924

G: 67 FR 59564 (09/23/02)

P: 67 FR 9070 (02/27/02)

O: 67 FR 69046 (11/14/02) (Tech. Corr.)

Deutsche Bank AG (DB)

Permits (a) the lending of securities to (1) Deutsche Banc Securities, Inc. (formerly, Deutsche Banc Alex. Brown, Inc.), its successors or affiliates; (2) any current or future affiliate of DB, that is a bank, as defined in section 202(a)(2) of the Investment Advisers Act of 1940, that is supervised by the U.S. or a state, any broker-dealer registered under the Securities Exchange Act of 1934, or any foreign affiliate that is a bank or broker-dealer that is supervised by (1) the Securities and Futures Authority in the United Kingdom; (2) the Bundesanstalt fur Finanzdienstleistungsaufsicht in Germany; (3) the Ministry of Finance and/or the Tokyo Stock Exchange in Japan; (4) the Ontario Securities Commission, the Investment Dealers Association and/or the Office of Superintendent of Financial Institutions in Canada; (5) the Swiss Federal Banking Commission in Switzerland; and (6) the Reserve Bank of Australia or the Australian Securities and Investments Commission and/or Australian Stock Exchange Limited in Australia by employee benefit plans, including commingled investment funds holding plan assets (the Client Plans or Plans), for which DB or an affiliate acts as securities lending agent or subagent (the DB Lending Agent) and also may serve as trustee, custodian or investment manager of securities being lent; and (b) the receipt of compensation by the DB Lending Agent in connection with these transactions.

Securities Lending Plan B Type Transactions

PTE 2002-48

D-10991

G: 67 FR 62827 (10/08/02)

P: 67 FR 44625 (07/03/02)

Deutsche Bank AG and Its Affiliates (collectively, Deutsche Bank)

Permits, effective April 24, 2001, (1) the lending of securities, under “exclusive borrowingEarrangements, to Deutsche Bank, by employee benefit plans with respect to which Deutsche Bank is a party in interest; and (2) the receipt of compensation by Deutsche Bank in connection with these transactions.

PTE 2002-44

D-11084

G: 67 FR 56597 (09/04/02)

P: 67 FR 44633 (07/03/02)

Goldman Sachs & Co. (Goldman)

Permits, effective March 22, 2002, (a) the lending of securities, under certain exclusive borrowing arrangements, to (1) Goldman and any affiliate of Goldman that, now or in the future, is a U.S. registered broker-dealer, a government securities broker or dealer or U.S. bank; (2) Goldman Sachs Canada Inc., which is subject to regulation in Canada by the Ontario Securities Commission and the Investment Dealers Association; (3) Goldman Sachs International and Goldman Sachs Equity Securities (U.K.), which are subject to regulation in the United Kingdom by the Financial Services Authority (the UK FSA) (formerly, the Securities and Futures Authority (the UK SFA)); (4) Goldman, Sachs & Co. oHG, which is subject to regulation in Germany by the Deutsche Bundesbank and the Federal Banking Supervisory Authority, e.g., der Bundesaufsichtsamt fE das Kreditwesen (the BAK); (5) Goldman Sachs (Japan) Ltd., which is subject to regulation in Japan by the Financial Services Agency and the Tokyo Stock Exchange; (6) Goldman Sachs Australia Pty Limited, which is subject to regulation in Australia by the Australian Securities & Investments Commission (the ASIC); (7) Goldman, Sachs & Co. Bank, which is subject to regulation in Switzerland by the Swiss Federal Banking Commission; and (8) Any broker-dealer or bank that, now or in the future, is an affiliate of Goldman which is subject to regulation by the Ontario Securities Commission and the Investment Dealers Association in Canada, the UK FSA in the United Kingdom, the Deutsche Bundesbank and/or the BAK in Germany, the Financial Services Agency and the Tokyo Stock Exchange in Japan, the ASIC in Australia or the Swiss Federal Banking Commission in Switzerland, by employee benefit plans, including commingled investment funds holding assets of such plans with respect to which Goldman or any of its affiliates is a party in interest; and (b) the receipt of compensation by Goldman or any of its affiliates in connection with securities lending transactions.

PTE 2002-33

D-11048

G: 67 FR 42077 (06/20/02)

P: 67 FR 15241 (03/29/02)

Morgan Stanley Dean Witter & Co. (Morgan Stanley)

Permits, effective November 11, 2001, (1) the lending of securities by an employee benefit plan, including a commingled investment fund holding assets of such plan (the Plan(s)) with respect to which Morgan Stanley or any of its affiliates is a party in interest, under certain exclusive borrowing arrangements with (a) Morgan Stanley; (b) Morgan Stanley & Co. Incorporated, MS Securities Services Inc., and any other affiliate of Morgan Stanley that, now or in the future, is a U.S. registered broker-dealer or a government securities broker or dealer; (c) Morgan Stanley & Co. International Limited, which is subject to regulation by the Financial Services Authority in the United Kingdom; (d) Morgan Stanley Japan Limited, which is subject to regulation by the Ministry of Finance, the Financial Services Agency, and the Osaka Stock Exchange; and (e) any broker-dealer that, now or in the future, is an affiliated of Morgan Stanley, which is subject to regulation by the FSA in the United Kingdom or which is subject to regulation by the Ministry of Finance, the Financial Services Agency, the Tokyo Stock Exchange, and the Osaka Stock Exchange; and (2) the receipt of compensation by Morgan Stanley or any of its affiliates in connection with securities lending transactions.

Securities Lending Trio-Type Transactions

PTE 2002-08

D-10997

G: 67 FR 2688 (01/18/02)

P: 66 FR 46843 (09/07/01)

Morgan Stanley Dean Witter & Co. Incorporated (MSDW&Co.)

Modifies PTE 97-08 (62 FR 4811, January 31, 1997), a "trio-type" securities lending exemption issued to Morgan Stanley & Co., Incorporated, a subsidiary of MSDW&Co., to permit a U.S. affiliate of a foreign broker-dealer to guaranty the obligations of such broker-dealer that arise in connection with transactions described in PTE 97-08 (i.e., principal transactions, extensions of credit and securities lending). The amendment is effective as of August 25, 1995.

Temporary Time Limit

PTE 2002-31

D-11002

G: 67 FR 42072 (06/20/02)

P: 67 FR 15230 (03/29/02)

See summary for Deutsche Bank under QPAM-Type.

Title I Only

PTE 2002-05

L-10896

G: 67 FR 1247 (01/09/02)

P: 66 FR 53637 (10/23/01)

See summary for the Alaska United Food and Commercial Workers Health and Security Plan under Purchase by Plan of Personal Property.

Title II Only

PTE 2002-56

D-11108

G: 67 FR 79657 (12/30/02)

P: 67 FR 69569 (11/18/02)

See summary for the Dr. Ferdinand G. Mainolfi Plan under Sale by Plan of Real Property.

PTE 2002-24

D-11043

G: 67 FR 20836 (04/26/02)

P: 67 FR 9092 (02/27/02)

See summary for the Carl Mundy, Jr. Plan under In Kind Contribution to Plan.

PTE 2002-11

D-11025

G: 67 FR 5318 (02/05/02)

P: 66 FR 64478 (12/13/01)

See summary for the Howard E. Adkins IRA under Sale by Plan of Real Property.

PTE 2002-10

D-11015

G: 67 FR 5318 (02/05/02)

P: 66 FR 64478 (12/13/01)

See summary for the Brenda A. Moran IRA under Sale by Plan of Other Securities.

Unitized Employer Stock Fund

PTE 2002-55

D-10958

G: 67 FR 79655 (12/30/02)

P: 67 62818 (10/08/02)

See summary for Fidelity under Credit Facility Arrangement.

VEBA

PTE 2002-07

L-10937

G: 67 FR 2687 (01/18/02)

P: 66 FR 49415 (09/27/01)

See summary for Ford under In Kind Redemptions.