"Transition Rules" -- Rule 203A-5 under the Investment Advisers Act of 1940, 17 CFR 275.203A-5; Form ADV-T under the Investment Advisers Act of 1940, 17 CFR 279.3

ICR 199612-3235-026

OMB: 3235-0483

Federal Form Document

Forms and Documents
Document
Name
Status
No forms / supporting documents in this ICR. Check IC Document Collections.
ICR Details
3235-0483 199612-3235-026
Historical Active
SEC
"Transition Rules" -- Rule 203A-5 under the Investment Advisers Act of 1940, 17 CFR 275.203A-5; Form ADV-T under the Investment Advisers Act of 1940, 17 CFR 279.3
New collection (Request for a new OMB Control Number)   No
Regular
Approved without change 03/13/1997
Retrieve Notice of Action (NOA) 12/26/1996
In accordance with the Paperwork Reduction Act of 1995, the form ADV-T must inform the public that the agency may not conduct or sponsor, and a person is not required to respond to, a collection of information unless it displays a currently valid OMB control number.
  Inventory as of this Action Requested Previously Approved
03/31/2000 03/31/2000
22,500 0 0
19,998 0 0
0 0 0

Rule 203A-5 under the Investment Advisers Act of 1940 requires every investment adviser registered with the Commission on April 9, 1997, to file a form ADV-T by the date.

None
None


No

  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 22,500 0 0 22,500 0 0
Annual Time Burden (Hours) 19,998 0 0 19,998 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.
12/26/1996


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