Rule 206(4)-3 under the Investment Advisers Act of 1940 (17 CFR 275.206(4)-3)

ICR 201208-3235-007

OMB: 3235-0242

Federal Form Document

Forms and Documents
Document
Name
Status
Supporting Statement A
2012-08-17
IC Document Collections
ICR Details
3235-0242 201208-3235-007
Historical Active 201008-3235-005
SEC IM-270-218
Rule 206(4)-3 under the Investment Advisers Act of 1940 (17 CFR 275.206(4)-3)
Extension without change of a currently approved collection   No
Regular
Approved without change 11/06/2012
Retrieve Notice of Action (NOA) 10/02/2012
  Inventory as of this Action Requested Previously Approved
11/30/2015 36 Months From Approved 11/30/2012
45,749 0 25,531
29,279 0 15,848
0 0 0

Rule 206(4)-3 imposes restrictions on cash payments for client solicitations and imposes certain disclosure requirements. The information is necessary to inform advisory clients about the nature of a solicitor's financial interest in a recommendation so clients may consider the solicitor's potential bias prior to engaging the adviser.

US Code: 15 USC 80b-6 Name of Law: Investment Advisers Act of 1940
  
None

Not associated with rulemaking

  77 FR 27102 05/10/2012
77 FR 41461 07/13/2012
No

1
IC Title Form No. Form Name
Rule 206(4)-3 under the Investment Advisers Act of 1940 (17 CFR 275.206(4)-3)

  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 45,749 25,531 0 0 20,218 0
Annual Time Burden (Hours) 29,279 15,848 0 0 13,431 0
Annual Cost Burden (Dollars) 0 0 0 0 0 0
No
No
The increases of 20,218 responses and 13,431 annual hours are due to an increase in the number of entities subject to the rule.

$0
No
No
No
No
No
Uncollected
Sarah Buescher 202 551-5192

  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.
10/02/2012


© 2024 OMB.report | Privacy Policy