Personal Investment Activities of Investment Company Personnel and Codes of Ethics of Investment Companies and Their.... -- Rule 17j-1, 17 CFR 270.17j-1
ICR 199809-3235-006
OMB: 3235-0224
Federal Form Document
⚠️ Notice: This information collection may be outdated. More recent filings for OMB 3235-0224 can be found here:
Personal Investment
Activities of Investment Company Personnel and Codes of Ethics of
Investment Companies and Their.... -- Rule 17j-1, 17 CFR
270.17j-1
Extension without change of a currently approved collection
Rule 17j-1 requires investment
companies and their investment advisers and principal underwriters
to establish 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.