Status of Investment Advisory Programs under the Investment Company Act of 1940 -- Rule 3a-4, 17 CFR 270.3a-4 under the Investment Company Act of 1940

ICR 199809-3235-002

OMB: 3235-0459

Federal Form Document

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ICR Details
3235-0459 199809-3235-002
Historical Active 199704-3235-010
SEC
Status of Investment Advisory Programs under the Investment Company Act of 1940 -- Rule 3a-4, 17 CFR 270.3a-4 under the Investment Company Act of 1940
Extension without change of a currently approved collection   No
Regular
Approved without change 10/20/1998
Retrieve Notice of Action (NOA) 09/02/1998
  Inventory as of this Action Requested Previously Approved
10/31/2001 10/31/2001 10/31/1998
6,970,000 0 1,016,000
2,128,666 0 1,016,000
0 0 0

Rule 3a-4 provides a nonexclusive safe harbor from the definition of investment company under the Investment Company Act of 1940 for certain programs that provide discretionary investment advisory services to clients.

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 6,970,000 1,016,000 0 0 5,954,000 0
Annual Time Burden (Hours) 2,128,666 1,016,000 0 0 1,112,666 0
Annual Cost Burden (Dollars) 0 0 0 0 0 0
No
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.
09/02/1998


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