THE INVESTMENT ADVISERS ACT OF 1940 -- RULE 204-3, 17 CFR 275.204-3

ICR 199402-3235-018

OMB: 3235-0047

Federal Form Document

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ICR Details
3235-0047 199402-3235-018
Historical Active 199110-3235-013
SEC
THE INVESTMENT ADVISERS ACT OF 1940 -- RULE 204-3, 17 CFR 275.204-3
Revision of a currently approved collection   No
Regular
Approved without change 04/19/1994
Retrieve Notice of Action (NOA) 02/09/1994
  Inventory as of this Action Requested Previously Approved
03/31/1997 03/31/1997 01/31/1995
971,082 0 291,754
485,541 0 145,877
0 0 0

THE RULE REQUIRES CERTAIN INVESTMENT ADVISERS TO DELIVER OR OFFER TO DELIVER TO CLIENTS A WRITTEN DISCLOSURE STATEMENT CONTAINING SPECIFIED INFORMATION CONCERNING THE BACKGROUND AND BUSINESS PRACTICES OF THE ADVISER. INVESTORS USE THE INFORMATION TO DETERMINE WHETHER TO RETAIN OR CONTINUE TO EMPLOY AN INVESTMENT ADVISER.

None
None


No

1
IC Title Form No. Form Name
THE INVESTMENT ADVISERS ACT OF 1940 -- RULE 204-3, 17 CFR 275.204-3

  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 971,082 291,754 0 679,328 0 0
Annual Time Burden (Hours) 485,541 145,877 0 339,664 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.
02/09/1994


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