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

ICR 200501-3235-004

OMB: 3235-0345

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
3235-0345 200501-3235-004
Historical Active 200412-3235-028
SEC
Rule 206(4)-4 under the Investment Adviser Act of 1940 [17 CFR 275.206(4)-4]
Revision of a currently approved collection   No
Regular
Approved without change 07/08/2005
Retrieve Notice of Action (NOA) 01/10/2005
This approval is associated with the SEC rulemaking under RIN 3235-AH78, proposed release nos. 34-50980 and IA-2340, final release nos. 34-51523 and IA-2376.
  Inventory as of this Action Requested Previously Approved
07/31/2008 07/31/2008 12/31/2007
2,525 0 2,278
11,638 0 11,383
0 0 0

Rule 206(4)-4 requires investment advisers to disclose certain financial and disciplinary information to clients. The disclosure requirements are designed so that a client will have information about an adviser's financial condition and disciplinary events that may be material to a client's evaluation of the adviser's integrity or ability to meet contractual commitments to clients.

None
None


No

1
IC Title Form No. Form Name
Rule 206(4)-4 under the Investment Adviser Act of 1940 [17 CFR 275.206(4)-4]

  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 2,525 2,278 0 247 0 0
Annual Time Burden (Hours) 11,638 11,383 0 255 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.
01/10/2005


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