CERTAIN UNLAWFUL ACTS, PRACTICES OR COURSES OF BUSINESS AND REQUIREMENTS RELATING TO CODES OF ETHICS WITH RESPECT TO REGISTERED INVESTMENT - RULE 270.17J-1
ICR 198111-3235-020
OMB: 3235-0224
Federal Form Document
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CERTAIN UNLAWFUL ACTS,
PRACTICES OR COURSES OF BUSINESS AND REQUIREMENTS RELATING TO CODES
OF ETHICS WITH RESPECT TO REGISTERED INVESTMENT - RULE
270.17J-1
New
collection (Request for a new OMB Control Number)
SECTION 17(J) OF THE INVESTMENT
COMPANY ACT OF 1940 MAKES IT UNLAWFUL FOR ANY AFFILIATED PERSON OF
A REGISTERED INVESTMENT COMPANY TO ENGAGE IN CERTAIN TYPES OF
FRAUDULENT PRACTICES. RULE 17J-1, IN FURTHERANCE O THIS OBJECTIVE,
REQUIRES THAT COMPANIES ADOPT CODES OF ETHICS DESIGNED TO PREVENT
SUCH FRAUDULENT PRACTICES.
On behalf of this Federal agency, I certify that
the collection of information encompassed by this request complies
with 5 CFR 1320.9 and the related provisions of 5 CFR
1320.8(b)(3).
The following is a summary of the topics, regarding
the proposed collection of information, that the certification
covers:
(i) Why the information is being collected;
(ii) Use of information;
(iii) Burden estimate;
(iv) Nature of response (voluntary, required for a
benefit, or mandatory);
(v) Nature and extent of confidentiality; and
(vi) Need to display currently valid OMB control
number;
If you are unable to certify compliance with any of
these provisions, identify the item by leaving the box unchecked
and explain the reason in the Supporting Statement.