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Regulatory Information
2003_register
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2010-09-23
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Grant of Individual Exemption To Replace Prohibited Transaction Exemption 97-63 (PTE 97-63) Involving State Street Bank and Trust Company (State Street) Located in Boston, MA
Notices
D09002ee1bdebe826
D09002ee1bdebe8c8
United States
Department of Labor
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org
United States Government Agency or Subagency
United States
Employee Benefits Security Administration
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org
United States Government Agency or Subagency
This document contains a final exemption before the Department of Labor (the Department) which replaces PTE 97-63 (62 FR 66689, December 19, 1997). This exemption permits securities lending transactions between State Street, its United States (U.S.) domiciled affiliates, and certain employee benefit plans (the Client Plan(s)) and/or commingled investment funds holding plan assets (CIF(s)); provided State Street, through any division or U.S. affiliate of State Street or of its parent acts as securities lending agent (or sub- agent). This exemption also permits receipt of compensation by a U.S. registered introducing broker affiliated with State Street (the Introducing Broker) in connection with an arrangement whereby securities are lent to an unrelated U.S. registered broker-dealer (the Clearing Broker) who in turn lends such securities to clients of the Introducing Broker; provided that certain conditions are satisfied. In addition, this exemption incorporates various modifications to specific terms and conditions of PTE 97-63. The replacement of PTE 97- 63 affects the participants and beneficiaries of the Client Plans participating in securities lending transactions and the fiduciaries with respect to such Client Plans.
68 FR 37526
https://www.govinfo.gov/app/details/FR-2003-06-24/03-15930
03-15930
fr24jn03-93
4510-29-P
Prohibited Transaction Exemption 2003-19 Application No. D-11122
https://www.govinfo.gov/app/details/FR-2003-06-24/03-15930
https://www.govinfo.gov/content/pkg/FR-2003-06-24/html/03-15930.htm
https://www.govinfo.gov/content/pkg/FR-2003-06-24/pdf/03-15930.pdf
9 p.
37526
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68 FR 37526
Grant of Individual Exemption To Replace Prohibited Transaction Exemption 97-63 (PTE 97-63) Involving State Street Bank and Trust Company (State Street) Located in Boston, MA; Federal Register Vol. 68, Issue
NOTICE
03-15930
DEPARTMENT OF LABOR
Employee Benefits Security Administration
2003-02-06
Prohibited Transaction Exemption 2003-19 Application No. D-11122
4510-29-P
03-15930
Grant of individual exemption to replace PTE 97-63.
This document contains a final exemption before the Department of Labor (the Department) which replaces PTE 97-63 (62 FR 66689, December 19, 1997). This exemption permits securities lending transactions between State Street, its United States (U.S.) domiciled affiliates, and certain employee benefit plans (the Client Plan(s)) and/or commingled investment funds holding plan assets (CIF(s)); provided State Street, through any division or U.S. affiliate of State Street or of its parent acts as securities lending agent (or sub- agent). This exemption also permits receipt of compensation by a U.S. registered introducing broker affiliated with State Street (the Introducing Broker) in connection with an arrangement whereby securities are lent to an unrelated U.S. registered broker-dealer (the Clearing Broker) who in turn lends such securities to clients of the Introducing Broker; provided that certain conditions are satisfied. In addition, this exemption incorporates various modifications to specific terms and conditions of PTE 97-63. The replacement of PTE 97- 63 affects the participants and beneficiaries of the Client Plans participating in securities lending transactions and the fiduciaries with respect to such Client Plans.
This exemption is effective as of February 6, 2003, the date when the Notice of Proposed Exemption (the Notice) was published in the Federal Register.
Ms. Angelena C. Le Blanc, Office of Exemption Determinations, Employee Benefits Security Administration, U.S. Department of Labor, telephone number (202) 693-8540. (This is not a toll-free number.)
Employee benefit plans; individual exemptions:
State Street Bank Trust Co.,
Federal Register
Vol. 68, no. 121
Office of the Federal Register, National Archives and Records Administration
2003-06-24
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315 p.
Table of Contents:
AE 2.7:
GS 4.107:
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https://www.govinfo.gov/app/details/FR-2003-06-24
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https://www.govinfo.gov/app/details/FR-2003-06-24
https://www.govinfo.gov/content/pkg/FR-2003-06-24/pdf/FR-2003-06-24.pdf
https://www.govinfo.gov/content/pkg/FR-2003-06-24/xml/FR-2003-06-24.xml
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2010-09-23
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