Rule 204-3 [17 CFR 275.204-3] under the Investment Advisers Act of 1940

ICR 200412-3235-023

OMB: 3235-0047

Federal Form Document

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Document
Name
Status
No forms / supporting documents in this ICR. Check IC Document Collections.
IC Document Collections
ICR Details
3235-0047 200412-3235-023
Historical Active 200407-3235-021
SEC
Rule 204-3 [17 CFR 275.204-3] under the Investment Advisers Act of 1940
Revision of a currently approved collection   No
Regular
Approved without change 12/16/2004
Retrieve Notice of Action (NOA) 12/06/2004
This approval is associated with the final rule under RIN 3235-AJ25.
  Inventory as of this Action Requested Previously Approved
12/31/2007 12/31/2007 06/30/2006
17,637,750 0 15,678,000
6,089,293 0 5,412,643
0 0 0

The rule requires investment advisers to deliver to their clients a written disclosure statement, or "brochure", of specified information concerning the background and business practices of the investment adviser. The rule also requires an adviser to update the information based on material events. Investors use the information to determine whether to retain or continue to employ the investment adviser.

None
None


No

1
IC Title Form No. Form Name
Rule 204-3 [17 CFR 275.204-3] under the Investment Advisers Act of 1940

  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 17,637,750 15,678,000 0 0 1,959,750 0
Annual Time Burden (Hours) 6,089,293 5,412,643 0 0 676,650 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.
12/06/2004


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