Investment Advisers Registration -- Rule 203-1 under the Investment Advisers Act of 1940, 17 CFR 275.203-1; Form ADV under the Investment Advisers Act of 1940, 17 CFR 279.1
ICR 199612-3235-024
OMB: 3235-0049
Federal Form Document
⚠️ Notice: This information collection may be outdated. More recent filings for OMB 3235-0049 can be found here:
Investment Advisers
Registration -- Rule 203-1 under the Investment Advisers Act of
1940, 17 CFR 275.203-1; Form ADV under the Investment Advisers Act
of 1940, 17 CFR 279.1
As discussed
with the agency, this collection should be resubmitted before final
rulemaking covering all uses of the form ADV (with or without
Schedule I), including justification of the information required by
this form and how used.
Inventory as of this Action
Requested
Previously Approved
05/31/1997
03/31/2000
05/31/1997
3,500
0
3,500
31,522
0
0
0
0
0
Rule 203-1 and form ADV under the
Investment Advisers Act of 1940 set forth the requirements for
Investment Advisers registration.
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.