RULE 206(4)-4 - FINANCIAL AND DISCIPLINARY INFORMATION THAT INVESTMENT ADVISERS ARE REQUIRED TO DISCLOSE TO CLIENTS

ICR 198809-3235-002

OMB: 3235-0345

Federal Form Document

Forms and Documents
Document
Name
Status
No forms / supporting documents in this ICR. Check IC Document Collections.
ICR Details
3235-0345 198809-3235-002
Historical Active 198609-3235-008
SEC
RULE 206(4)-4 - FINANCIAL AND DISCIPLINARY INFORMATION THAT INVESTMENT ADVISERS ARE REQUIRED TO DISCLOSE TO CLIENTS
Revision of a currently approved collection   No
Regular
Approved without change 11/01/1988
Retrieve Notice of Action (NOA) 09/20/1988
  Inventory as of this Action Requested Previously Approved
09/30/1991 09/30/1991 09/30/1989
525 0 750
2,625 0 3,750
0 0 0

THE PROPOSED RULE CODIFIES THE COMMISSION'S LONGSTANDING INTERPRETATIO THAT SECTION 206 OF THE ADVISERS ACT REQUIRES ADVISERS TO DISCLOSE MATERIAL, FINANCIAL AND DISCIPLINARY INFORMATION TO CLIENT

None
None


No

1
IC Title Form No. Form Name
RULE 206(4)-4 - FINANCIAL AND DISCIPLINARY INFORMATION THAT INVESTMENT ADVISERS ARE REQUIRED TO DISCLOSE TO 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 525 750 0 -225 0 0
Annual Time Burden (Hours) 2,625 3,750 0 -1,125 0 0
Annual Cost Burden (Dollars) 0 0 0 0 0 0
No
Yes

$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.
09/20/1988


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