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Employee Benefits Security Administration
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 Interest

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