Rule 0-4 under the Investment Advisers Act of 1940, General Requirements of Papers and Applications

ICR 201008-3235-013

OMB: 3235-0633

Federal Form Document

Forms and Documents
Document
Name
Status
Supplementary Document
2010-08-10
Supporting Statement A
2010-08-10
ICR Details
3235-0633 201008-3235-013
Historical Active 200707-3235-011
SEC IM-270-569
Rule 0-4 under the Investment Advisers Act of 1940, General Requirements of Papers and Applications
Revision of a currently approved collection   No
Regular
Approved without change 10/06/2010
Retrieve Notice of Action (NOA) 08/10/2010
  Inventory as of this Action Requested Previously Approved
10/31/2013 36 Months From Approved 12/31/2010
16 0 9
1 0 1
444,600 0 355,000

Rule 0-4 under the Investment Advisers Act of 1940 provides general instructions for filing an application with the Commission. Respondents to the collection are applying for orders of the Commission exempting them from one or more provisions of the Investment Advisers Act. Applicants for orders can include registered investment advisers, affiliated persons of registered investment advisers, and issuers seeking to avoid investment adviser status among others.

US Code: 15 USC 80b-1 et. seq. Name of Law: Investment Advisers Act of 1940
  
None

3235-AK39 Final or interim final rulemaking 75 FR 41018 07/14/2010

Yes

1
IC Title Form No. Form Name
Rule 0-4 under the Investment Advisers Act of 1940, General Requirements of Papers and Applications

  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 16 9 0 7 0 0
Annual Time Burden (Hours) 1 1 0 0 0 0
Annual Cost Burden (Dollars) 444,600 355,000 0 89,600 0 0
No
No

No
No
No
Uncollected
No
Uncollected
Melissa Roverts 202 551-6730 [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.
08/10/2010


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