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Employee Benefits Security Administration
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Subject Listing

Index of Approved EXPRO Exemptions

Acquisition, Holding, Exercise & Disposition of Certain Warrants


Asset-Backed Securities/Underwriter Exemption


Captive Reinsurance


Credit Facility Arrangement


In-Kind Redemption by In-House Plans of Shares in Certain Proprietary Mutual Funds


In-Kind Redemption of Assets by In-House Plans of the Investment Advisers of Mutual Funds

  • FAN 2008-02E; Submission E00576; Wachovia Corporation Pension Plan

In-Kind Redemption of Mutual Fund Shares


Index-Linked Debt Securities


Investment of Plan Assets in Securities During the Existence of an Underwriting or Selling Syndicate Advised by a Fiduciary and the Receipt of Compensation


Lease by Plan of Real Property

  • FAN 2005-25E; Submission E00457; Systems Technology Inc. 401(k) ESOP & Trust

Loan by Plan Secured by Real Property


Private Equity Fund Investments


Purchase by Plan of Other Securities


Purchase by Plan of Real Property


Purchase by Plan of Partnership Interests; Mergers and Acquisitions; and Incentive Compensation


Purchase or Sale of Securities in the Context of a Portfolio Liquidation or Restructuring


Purchase, Sale, or Holding of Publicly-Traded Debt Securities and Extension of Credit


Sale by IRA of Employer Securities


Sale of Employer Stock by an ESOP to the Plan Sponsor, an S Corporation which is over 50% Owned by a Shareholder Employee


Sale by Plan of Common Stock


Sale by Plan of Other Securities


Sale by Plan of Partnership Interests


Sale by Plan of Real Property


Sale by Plan of Real Property; Provided the Transaction is Entered into within 90 Days of the Final Authorization Date


Sale by Plan of Third-Party Stock to Disqualified Person


Sale-Out of Non-Employer Securities from IRA to Disqualified Person


Securities Lending between Plans and Broker-Dealers (Affiliated with Plan Fiduciary)


Similar to QPAM Relief without Diverse Clientele Test


Warrants and Other Rights