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

ICR 200708-3235-020

OMB: 3235-0242

Federal Form Document

Forms and Documents
Document
Name
Status
Supporting Statement A
2007-12-17
IC Document Collections
ICR Details
3235-0242 200708-3235-020
Historical Active 200501-3235-005
SEC 270-218
Rule 206(4)-3 under the Investment Advisers Act of 1940 (17 CFR 275.206(4)-3)
Extension without change of a currently approved collection   No
Regular
Approved without change 03/05/2008
Retrieve Notice of Action (NOA) 01/02/2008
  Inventory as of this Action Requested Previously Approved
03/31/2011 36 Months From Approved 07/31/2008
23,793 0 21,406
15,228 0 12,630
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.

US Code: 15 USC 80b-6 Name of Law: Investment Advisers Act of 1940
  
None

Not associated with rulemaking

  72 FR 61410 10/30/2007
73 FR 216 01/02/2008
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)

  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 23,793 21,406 0 0 2,387 0
Annual Time Burden (Hours) 15,228 12,630 0 0 2,598 0
Annual Cost Burden (Dollars) 0 0 0 0 0 0
No
No

$0
No
No
Uncollected
Uncollected
Uncollected
Uncollected
Matthew Goldin 202 551-6726 [email protected]

  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.
01/02/2008


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