Rule 204-3 [17 CFR 275.204-3] under the Investment Advisers Act of 1940

ICR 200004-3235-004

OMB: 3235-0047

Federal Form Document

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Document
Name
Status
No forms / supporting documents in this ICR. Check IC Document Collections.
IC Document Collections
ICR Details
3235-0047 200004-3235-004
Historical Active 200002-3235-009
SEC
Rule 204-3 [17 CFR 275.204-3] under the Investment Advisers Act of 1940
Revision of a currently approved collection   No
Regular
Approved without change 06/06/2000
Retrieve Notice of Action (NOA) 04/12/2000
  Inventory as of this Action Requested Previously Approved
06/30/2003 06/30/2003 03/31/2003
1,190,700 0 406,700
411,075 0 203,350
0 0 0

The rule requires investment advisers to deliver, or offer to deliver, to their clients a written disclosure statement, or "brochure," of specified information concerning the background and business practices of the adviser. Investors use this information to determine whether to retain or continue to employ the investment adviser.

None
None


No

1
IC Title Form No. Form Name
Rule 204-3 [17 CFR 275.204-3] under the Investment Advisers Act of 1940

  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 1,190,700 406,700 0 802,494 -18,494 0
Annual Time Burden (Hours) 411,075 203,350 0 212,625 -4,900 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.
04/12/2000


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