Form ADV

ICR 201001-3235-003

OMB: 3235-0049

Federal Form Document

Forms and Documents
Document
Name
Status
Form
Modified
Supporting Statement A
2009-06-23
IC Document Collections
IC ID
Document
Title
Status
34137 Modified
ICR Details
3235-0049 201001-3235-003
Historical Active 200708-3235-015
SEC IM-270-39
Form ADV
Revision of a currently approved collection   No
Regular
Approved without change 01/13/2010
Retrieve Notice of Action (NOA) 01/13/2010
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 02/28/2011
30,680 0 26,968
132,599 0 109,678
11,239,600 0 2,949,428

Form ADV under the Investment Advisers Act of 1940 is filed upon initial registration as an investment adviser, is updated on an annual basis by all advisers, and may be more frequently updated to correct certain material information.

US Code: 15 USC 80b-3(c)(1) Name of Law: Investment Advisers Act of 1940
   US Code: 15 USC 80b-4 Name of Law: Investment Advisers Act of 1940
   US Code: 15 USC 80b-11(a) Name of Law: Investment Advisers Act of 1940
  
None

3235-AK32 Final or interim final rulemaking 75 FR 1456 01/11/2010

No

1
IC Title Form No. Form Name
Form ADV SEC-1707 Form ADV

  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 30,680 26,968 0 0 3,712 0
Annual Time Burden (Hours) 132,599 109,678 0 3,068 19,853 0
Annual Cost Burden (Dollars) 11,239,600 2,949,428 0 0 8,290,172 0
Yes
Changing Regulations
No
In connection with the proposal to amend the investment adviser custody rule, the Commission is proposing to amend Part 1A of Form ADV to provide more complete information about the custody practices of advisers registered with the Commission, and to provide the Commission with additional data to improve our ability to identify compliance risks.

$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


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