Rule 204-2 under the Investment Advisers Act of 1940

ICR 200807-3235-004

OMB: 3235-0278

Federal Form Document

Forms and Documents
Document
Name
Status
Supporting Statement A
2008-07-07
Supplementary Document
2008-07-07
IC Document Collections
IC ID
Document
Title
Status
34747
Modified
ICR Details
3235-0278 200807-3235-004
Historical Inactive 200708-3235-021
SEC 270-215
Rule 204-2 under the Investment Advisers Act of 1940
Revision of a currently approved collection   No
Regular
Preapproved 08/30/2008
Retrieve Notice of Action (NOA) 07/07/2008
  Inventory as of this Action Requested Previously Approved
08/31/2011 36 Months From Approved 03/31/2011
10,817 0 10,787
1,961,048 0 1,954,109
13,755,510 0 13,551,390

Rule 204-2 sets forth the books and records that SEC-registered investment advisers must maintain and preserve.

US Code: 15 USC 80b-4 Name of Law: Investment Advisers Act of 1940
  
None

3235-AI17 Proposed rulemaking 73 FR 13958 03/14/2008

No

1
IC Title Form No. Form Name
Rule 204-2

  Total Request 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 10,817 10,787 0 30 0 0
Annual Time Burden (Hours) 1,961,048 1,954,109 0 6,939 0 0
Annual Cost Burden (Dollars) 13,755,510 13,551,390 0 204,120 0 0
Yes
Changing Regulations
No
The Commission proposed to amend Part 2 of Form ADV, and related rules, including rule 204-2, to provide advisory clients with brochure and brochure supplements that contain clear, current, and more meaningful disclosure in a narrative, plan English format.

$0
No
No
Uncollected
Uncollected
Uncollected
Uncollected
Vivian Liu 202 942-0719

  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.
07/07/2008


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