Form ADV-E, cover sheet for each certificate of accounting of client securities and funds in custody of an investment adviser.

ICR 200906-3235-003

OMB: 3235-0361

Federal Form Document

ICR Details
3235-0361 200906-3235-003
Historical Inactive 200809-3235-018
SEC IM-270-318
Form ADV-E, cover sheet for each certificate of accounting of client securities and funds in custody of an investment adviser.
Revision of a currently approved collection   No
Regular
Preapproved 08/19/2009
Retrieve Notice of Action (NOA) 06/02/2009
Pre-approval contingent upon no substantive changes to this collection after adoption of the final rule. Otherwise this collection should be re-submitted to OMB for review.
  Inventory as of this Action Requested Previously Approved
08/31/2012 36 Months From Approved 03/31/2012
11,490 0 189
575 0 9
0 0 0

Form ADV-E is the cover sheet for accountant examination certificates filed pursuant to rule 206(4)-2 under Investment Advisers Act by certain investment advisers retaining custody of client securities or funds.

US Code: 15 USC 80b-4 Name of Law: Investment Advisers Act of 1940
   US Code: 15 USC 80b-6(4) Name of Law: Investment Advisers Act of 1940
  
None

3235-AK32 Proposed rulemaking 74 FR 25354 05/27/2009

No

1
IC Title Form No. Form Name
Form ADV-E, cover sheet for each certificate of accounting of client securities and funds in custody of an investment adviser. SEC-2223 Form ADV-E

  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 11,490 189 0 11,301 0 0
Annual Time Burden (Hours) 575 9 0 566 0 0
Annual Cost Burden (Dollars) 0 0 0 0 0 0
Yes
Changing Regulations
No
The Commission proposed amendments to rule 206(4-2) which would increase the number of investment advisers required to undergo an annual surprise examination by an independent public accountant and complete Form ADV-E. The amendments would also require Form ADV-E to be filed along with a termination statement upon the accountant's resignation, dismissal, or removal.

$0
No
No
Uncollected
Uncollected
No
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.
06/02/2009


© 2024 OMB.report | Privacy Policy