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
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.