Rule 3a-4 (17 CFR 270.3a-4) under the Investment Company Act of 1940, "Status of Investment Advisory Progrms."

ICR 200407-3235-005

OMB: 3235-0459

Federal Form Document

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Document
Name
Status
No forms / supporting documents in this ICR. Check IC Document Collections.
ICR Details
3235-0459 200407-3235-005
Historical Active 200108-3235-001
SEC
Rule 3a-4 (17 CFR 270.3a-4) under the Investment Company Act of 1940, "Status of Investment Advisory Progrms."
Extension without change of a currently approved collection   No
Regular
Approved without change 08/26/2004
Retrieve Notice of Action (NOA) 07/01/2004
  Inventory as of this Action Requested Previously Approved
08/31/2007 08/31/2007 10/31/2004
21,159,800 0 46,482,355
6,512,503 0 14,149,412
0 0 0

Rule 3a-4 provides a nonexclusive safe harbor from the definition of investment company under the Investment Company Act of 1940 for certain programs that provide discretionary investment advisory services to clients.

None
None


No

1
IC Title Form No. Form Name
Rule 3a-4 (17 CFR 270.3a-4) under the Investment Company Act of 1940, "Status of Investment Advisory Progrms."

  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 21,159,800 46,482,355 0 0 -25,322,555 0
Annual Time Burden (Hours) 6,512,503 14,149,412 0 0 -7,636,909 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.
07/01/2004


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