Rule 206(4)-3 under the Investment Advisers Act of 1940 (17 CFR 275.206(4)-3)

ICR 200307-3235-015

OMB: 3235-0242

Federal Form Document

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Name
Status
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ICR Details
3235-0242 200307-3235-015
Historical Active 200008-3235-001
SEC
Rule 206(4)-3 under the Investment Advisers Act of 1940 (17 CFR 275.206(4)-3)
Extension without change of a currently approved collection   No
Regular
Approved without change 12/02/2003
Retrieve Notice of Action (NOA) 07/23/2003
  Inventory as of this Action Requested Previously Approved
12/31/2006 12/31/2006 12/31/2003
17,160 0 17,468
10,982 0 11,180
0 0 0

Rule 206(4)-3 imposes restrictions on cash payments for client solicitations and imposes certain disclosure requirements. The information is necessary to inform advisory clients about the nature of a solicitor's financial interest in a recommendation so clients may consider the solicitor's potential bias.

None
None


No

1
IC Title Form No. Form Name
Rule 206(4)-3 under the Investment Advisers Act of 1940 (17 CFR 275.206(4)-3)

  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 17,160 17,468 0 0 -308 0
Annual Time Burden (Hours) 10,982 11,180 0 0 -198 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.
07/23/2003


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