BOOKS AND RECORDS TO BE MAINTAINED BY INVESTMENT ADVISERS UNDER THE INVESTMENT ADVISERS ACT OF 1940 -- RULE 204-2

ICR 199406-3235-007

OMB: 3235-0278

Federal Form Document

Forms and Documents
Document
Name
Status
No forms / supporting documents in this ICR. Check IC Document Collections.
ICR Details
3235-0278 199406-3235-007
Historical Active 199404-3235-004
SEC
BOOKS AND RECORDS TO BE MAINTAINED BY INVESTMENT ADVISERS UNDER THE INVESTMENT ADVISERS ACT OF 1940 -- RULE 204-2
Revision of a currently approved collection   No
Regular
Approved without change 08/04/1994
Retrieve Notice of Action (NOA) 06/22/1994
  Inventory as of this Action Requested Previously Approved
08/31/1997 08/31/1997 05/31/1997
5,049,870 0 4,854,127
5,049,870 0 4,854,127
0 0 0

RULE 204-2 SETS FORTH THE BOOKS AND RECORDS THAT REGISTERED INVESTMENT ADVISERS MUST MAINTAIN AND PRESERVE.

None
None


No

1
IC Title Form No. Form Name
BOOKS AND RECORDS TO BE MAINTAINED BY INVESTMENT ADVISERS UNDER THE INVESTMENT ADVISERS ACT OF 1940 -- RULE 204-2

  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 5,049,870 4,854,127 0 195,743 0 0
Annual Time Burden (Hours) 5,049,870 4,854,127 0 195,743 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.
06/22/1994


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