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4/28/2004: Text of Proposed Amendment to Prohibited Transaction Class Exemption 75-1 (PDF) (Employee Benefits Security Administration [EBSA], U.S. Department of Labor [DOL])
5 pages; Excerpt: As amended, the exemption would permit plans to engage in transactions with broker-dealers, reporting dealers, banks and their affiliates except where the broker-dealer, reporting dealer, bank or an affiliate has or exercises any discretionary authority or control (except as a directed trustee) with respect to the investment of plan assets involved in the transaction, or renders investment advice ... with respect to the investment of those assets.
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