"Financial and Disciplinary Information the Investment Advisers Must Disclose to Clients" -- Rule 206(4)-4 under the Investment Advisers Act of 1940, 17 CFR 275.206(4)-4
ICR 199707-3235-011
OMB: 3235-0345
Federal Form Document
⚠️ Notice: This information collection may be outdated. More recent filings for OMB 3235-0345 can be found here:
"Financial and Disciplinary
Information the Investment Advisers Must Disclose to Clients" --
Rule 206(4)-4 under the Investment Advisers Act of 1940, 17 CFR
275.206(4)-4
Extension without change of a currently approved collection
Rule 206(4)-4 under the Investment
Advisers Act of 1940 requires investment advisers to disclose
certain financial and disciplinary information to clients. The
disclosure requirements are designed so that a client will have
information about an adviser's financial condition and disciplinary
events that may be material to a client's evaluation of the
adviser's integrity or ability to meet contractual commitments to
clients.
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.