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
01/31/2007
8,765
0
7,790
701,200
0
623,200
0
0
0
Rule 206(4)-7 requires invesstment
advisers registeed with the Commisison to adopt and implement
compliance policies and procedures, to review those polices and
procedures annually, and to designate a chief compliance
officer.
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.