RULE 206(4)-2, CUSTODY OR POSSESSION OF FUNDS OR SECURITIES OF CLIENTS

ICR 198601-3235-011

OMB: 3235-0241

Federal Form Document

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Document
Name
Status
No forms / supporting documents in this ICR. Check IC Document Collections.
IC Document Collections
ICR Details
3235-0241 198601-3235-011
Historical Active 198212-3235-006
SEC
RULE 206(4)-2, CUSTODY OR POSSESSION OF FUNDS OR SECURITIES OF CLIENTS
Extension without change of a currently approved collection   No
Regular
Approved without change 03/11/1986
Retrieve Notice of Action (NOA) 01/24/1986
  Inventory as of this Action Requested Previously Approved
01/31/1989 01/31/1989 02/28/1986
74,483 0 74,483
37,418 0 37,418
0 0 0

TO PRESCRIBE PROCEDURES FOR THE SAFEKEEPING OF CLIENT FUNDS AND SECURITIES OVER WHICH AN INVESTMENT ADVISER HAS CUSTODY OR POSSESSION TO ENSURE THAT THE ADVISER'S HANDLING OF SUCH ASSETS IS NEITHER FRAUDULENT, DECEPTIVE NOR MANIPULATIVE.

None
None


No

1
IC Title Form No. Form Name
RULE 206(4)-2, CUSTODY OR POSSESSION OF FUNDS OR SECURITIES OF CLIENTS

  Total Approved Previously Approved Change Due to New Statute Change Due to Agency Discretion Change Due to Adjustment in Estimate Change Due to Potential Violation of the PRA
Annual Number of Responses 74,483 74,483 0 0 0 0
Annual Time Burden (Hours) 37,418 37,418 0 0 0 0
Annual Cost Burden (Dollars) 0 0 0 0 0 0
No
No

$0
No
No
Uncollected
Uncollected
Uncollected
Uncollected

  No

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.
01/24/1986


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