Investment Company Act Rule 38a-1, 17 C.F.R 270.38a-1, Compliance procedures and practices of registered investment companies.

OMB 3235-0586

OMB 3235-0586

Rule 38a-1 requires registered investment companies and business development companies to adopt and implement compliance policies and procedures, to review those policies and procedures annually, and to maintain certain records.

The latest form for Investment Company Act Rule 38a-1, 17 C.F.R 270.38a-1, Compliance procedures and practices of registered investment companies. expires 2024-01-31 and can be found here.

Latest Forms, Documents, and Supporting Material
Document
Name
Supporting Statement A
All Historical Document Collections
Approved without change
 Revision of a currently approved collection 2021-06-09
Comment filed on proposed rule and continue
 Revision of a currently approved collection 2021-01-19
Extension without change of a currently approved collection 2020-11-17
Approved without change
 Extension without change of a currently approved collection 2017-12-29
Approved without change
 Revision of a currently approved collection 2014-07-07
Comment filed on proposed rule and continue
 Revision of a currently approved collection 2014-01-21
Approved without change
 Revision of a currently approved collection 2014-01-27
Approved without change
 Extension without change of a currently approved collection 2013-01-07
Comment filed on proposed rule and continue
 Revision of a currently approved collection 2011-03-18
Approved without change
 Revision of a currently approved collection 2010-03-04
Approved without change
 Extension without change of a currently approved collection 2009-10-21
Preapproved
 Revision of a currently approved collection 2008-07-14
Approved without change
 Extension without change of a currently approved collection 2006-10-26
Approved without change
 New collection (Request for a new OMB Control Number) 2003-10-23
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