Rule 202(a)(11)-2

ICR 200405-3235-005

OMB: 3235-0603

Federal Form Document

Forms and Documents
Document
Name
Status
No forms / supporting documents in this ICR. Check IC Document Collections.
IC Document Collections
IC ID
Document
Title
Status
35466
Migrated
ICR Details
3235-0603 200405-3235-005
Historical Active
SEC
Rule 202(a)(11)-2
New collection (Request for a new OMB Control Number)   No
Regular
Approved without change 06/25/2004
Retrieve Notice of Action (NOA) 05/05/2004
  Inventory as of this Action Requested Previously Approved
06/30/2007 06/30/2007
117 0 0
10 0 0
0 0 0

Rule 202(a)(11)-2 would except certain thrift institution from the definition of "investment adviser" if its investment advisory services are provided soley in its capacity as trustee, executor, administrator, or guardian for customer accounts created and maintained for a fiduciary purpose, or to its collective trust funds execepted from the Investment Company Act of 1940.

None
None


No

1
IC Title Form No. Form Name
Rule 202(a)(11)-2

  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 117 0 0 117 0 0
Annual Time Burden (Hours) 10 0 0 10 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.
05/05/2004


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