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

ICR 200407-3235-022

OMB: 3235-0242

Federal Form Document

Forms and Documents
Document
Name
Status
No forms / supporting documents in this ICR. Check IC Document Collections.
IC Document Collections
ICR Details
3235-0242 200407-3235-022
Historical Inactive 200307-3235-015
SEC
Rule 206(4)-3 under the Investment Advisers Act of 1940 [17 CFR 275.206(4)-3]
Revision of a currently approved collection   No
Regular
Comment filed on proposed rule and continue 10/18/2004
Retrieve Notice of Action (NOA) 07/22/2004
This ICR is associated with proposed release IA-2266. The agency must resubmit this ICR at the time of final rulemaking. The resubmission must include responses to relevant comments received in response to the notice of proposed rulemaking.
  Inventory as of this Action Requested Previously Approved
12/31/2006 10/31/2007 12/31/2006
17,160 0 17,160
10,982 0 0
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]

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.
07/22/2004


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