Certain Unlawful Acts, Practices, or Courses of Business and Requirements Relating to Codes of Ethics with Respect to Registered Investment -- Rule 17j-1 under the Investment....
ICR 199509-3235-036
OMB: 3235-0224
Federal Form Document
⚠️ Notice: This information collection may be outdated. More recent filings for OMB 3235-0224 can be found here:
Certain Unlawful Acts,
Practices, or Courses of Business and Requirements Relating to
Codes of Ethics with Respect to Registered Investment -- Rule 17j-1
under the Investment....
Rule 17j-1 requires investment
companies and their investment advisers and principal underwriters
to have codes of ethics to prevent affiliated persons from engaging
in fraudulent practices and requires these persons to file reports
with their employers with respect to their personal securities
transactions.
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.