PTE 2011-05 TD Ameritrade, Inc [Application No. D-11592]

Docket ID: EBSA-2011-0009
Agency: Employee Benefits Security Administration (EBSA)
Parent Agency: Department of Labor (DOL)
The restrictions of section 406(a)(1)(A) and (D) and section 406(b)(1) and (2) of the Act and the sanctions resulting from the application of section 4975 of the Code, by reason of section 4975(c)(1)(A), (D), and (E) of the Code, shall not apply, effective July 20, 2009, to the sale by a Plan (as defined in Section V(e)) of an Auction Rate Security (as defined in Section V(c)) to TD Ameritrade, where such sale (an Unrelated Sale) is unrelated to, and not made in connection with, a Settlement Agreement (as defined in Section V(f)), provided that the conditions set forth in Section II have been met.
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Related RINs: None
Related Dockets: None
Type: Nonrulemaking

Primary Documents

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Comment Period Closed
Posted: 06/22/2011
ID: EBSA-2011-0009-0001

Supporting Documents

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Comments Received*
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