Rule 206(4)-6 Under the Investment Advisers Act of 1940 [17 CFR 275.206(4)-6]

ICR 200209-3235-015

OMB: 3235-0571

Federal Form Document

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Name
Status
No forms / supporting documents in this ICR. Check IC Document Collections.
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ICR Details
3235-0571 200209-3235-015
Historical Active
SEC
Rule 206(4)-6 Under the Investment Advisers Act of 1940 [17 CFR 275.206(4)-6]
New collection (Request for a new OMB Control Number)   No
Regular
Approved without change 11/22/2002
Retrieve Notice of Action (NOA) 09/25/2002
  Inventory as of this Action Requested Previously Approved
11/30/2005 11/30/2005
6,203 0 0
103,590 0 0
0 0 0

Rule 206(4)-6 would require investment advisers to adopt and implement written policies and procedures reasonably designed to ensure the adviser votes client proxies in the best interests of clients, and disclose these policies and procedures to clients, as well as information how clients can obtain information from the adviser about how the adviser voted the client's securities.

None
None


No

1
IC Title Form No. Form Name
Rule 206(4)-6 Under the Investment Advisers Act of 1940 [17 CFR 275.206(4)-6]

  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 6,203 0 0 6,203 0 0
Annual Time Burden (Hours) 103,590 0 0 103,590 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.
09/25/2002


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