AGENCY CROSS TRANSACTIONS FOR ADVISORY CLIENTS RULE 206(3)-2

ICR 199204-3235-002

OMB: 3235-0243

Federal Form Document

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ICR Details
3235-0243 199204-3235-002
Historical Active 198904-3235-002
SEC
AGENCY CROSS TRANSACTIONS FOR ADVISORY CLIENTS RULE 206(3)-2
Revision of a currently approved collection   No
Regular
Approved without change 07/09/1992
Retrieve Notice of Action (NOA) 04/13/1992
  Inventory as of this Action Requested Previously Approved
07/31/1995 07/31/1995 06/30/1992
12,200 0 9,394
6,100 0 4,697
0 0 0

THE RULE PERMITS REGISTERED INVESTMENT ADVISERS TO COMPLY WITH SECTION 206(3) OF THE INVESTMENT ADVISERS ACT OF 1940 BY OBTAINING A BLANKET CONSENT FROM A CLIENT TO ENTER INTO AGENCY CROSS TRANSACTIONS PROVIDED CERTAIN DISCLOSURE IS MADE TO THE CLIENT.

None
None


No

1
IC Title Form No. Form Name
AGENCY CROSS TRANSACTIONS FOR ADVISORY CLIENTS RULE 206(3)-2

  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 12,200 9,394 0 2,806 0 0
Annual Time Burden (Hours) 6,100 4,697 0 1,403 0 0
Annual Cost Burden (Dollars) 0 0 0 0 0 0
Yes
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.
04/13/1992


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