Form ADV

ICR 201008-3235-023

OMB: 3235-0049

Federal Form Document

Forms and Documents
Document
Name
Status
Form
Modified
Supporting Statement A
2010-10-12
IC Document Collections
IC ID
Document
Title
Status
34137 Modified
ICR Details
3235-0049 201008-3235-023
Historical Active 201001-3235-003
SEC IM-270-39
Form ADV
Revision of a currently approved collection   No
Regular
Approved with change 10/12/2010
Retrieve Notice of Action (NOA) 08/31/2010
Per OMB request, agency modified supporting statement to address agency response to public comments received.
  Inventory as of this Action Requested Previously Approved
10/31/2013 36 Months From Approved 08/31/2012
25,316 0 30,680
268,457 0 132,599
22,775,400 0 11,239,600

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-1 Name of Law: Investment Advisers Act of 1940
  
None

3235-AI17 Final or interim final rulemaking 75 FR 49234 08/12/2010

Yes

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 25,316 30,680 0 -5,364 0 0
Annual Time Burden (Hours) 268,457 132,599 0 135,858 0 0
Annual Cost Burden (Dollars) 22,775,400 11,239,600 0 11,535,800 0 0
Yes
Changing Regulations
No
The total burden hours for all respondents has increased from the currently approved 132,599 hours per year to 268,457 hours per year. This increase is mainly due to the following factors: (1) the initial burden associated with advisers preparing clearly written, meaningful, narrative brochures and brochure supplements containing current disclosure of the business practices, conflicts of interest and background of the investment adviser and its advisory personnel, (2) the burden associated with advisers expanding their discussion of how the adviser addresses certain conflicts of interest and (3) the burden associated with related amendments to rules 203-1 and 204-1. The change in the number of responses is an adjustment that had nothing to do with the rulemaking amendments.

$0
No
No
No
No
No
Uncollected
Don Evans 202 551-6787

  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.
08/31/2010


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