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Rule 203A-5
Rule 203A-5
OMB: 3235-0688
IC ID: 195690
OMB.report
SEC
OMB 3235-0688
ICR 201012-3235-009
IC 195690
( )
⚠️ Notice: This information collection may be referencing outdated material. More recent filings for OMB 3235-0688 can be found here:
2014-04-29 - Extension without change of a currently approved collection
2011-07-19 - New collection (Request for a new OMB Control Number)
Documents and Forms
Document Name
Document Type
no available documents/forms check other ICs listed under this ICR
Information Collection (IC) Details
View Information Collection (IC)
IC Title:
Rule 203A-5
Agency IC Tracking Number:
Is this a Common Form?
No
IC Status:
New
Obligation to Respond:
Mandatory
CFR Citation:
17 CFR 275.203A-5
Information Collection Instruments:
Document Type
Form No.
Form Name
Instrument File
URL
Available Electronically?
Can Be Submitted Electronically?
Electronic Capability
Federal Enterprise Architecture Business Reference Module
Line of Business:
Economic Development
Subfunction:
Financial Sector Oversight
Privacy Act System of Records
Title:
Investment Adviser Records
FR Citation:
66 FR 7820
Number of Respondents:
11,850
Number of Respondents for Small Entity:
620
Affected Public:
Private Sector
Private Sector:
Businesses or other for-profits
Percentage of Respondents Reporting Electronically:
100 %
Requested
Program Change Due to New Statute
Program Change Due to Agency Discretion
Change Due to Adjustment in Agency Estimate
Change Due to Potential Violation of the PRA
Previously Approved
Annual Number of Responses for this IC
11,850
11,850
0
0
0
0
Annual IC Time Burden (Hours)
157,775
157,775
0
0
0
0
Annual IC Cost Burden (Dollars)
0
0
0
0
0
0
Documents for IC
Title
Document
Date Uploaded
No associated records found
Blank fields in records indicate information that was not collected or not collected electronically prior to July 2006.