Form ADV-E, cover sheet for each certificate of accounting of client securities and funds in custody of an investment adviser.

ICR 201211-3235-007

OMB: 3235-0361

Federal Form Document

ICR Details
3235-0361 201211-3235-007
Historical Active 201001-3235-006
SEC IM-270-318
Form ADV-E, cover sheet for each certificate of accounting of client securities and funds in custody of an investment adviser.
Extension without change of a currently approved collection   No
Regular
Approved without change 01/11/2013
Retrieve Notice of Action (NOA) 12/03/2012
  Inventory as of this Action Requested Previously Approved
01/31/2016 36 Months From Approved 03/31/2013
1,248 0 2,231
63 0 112
0 0 0

Form ADV-E is the cover sheet for accountant examination certificates filed pursuant to rule 206(4)-2 under Investment Advisers Act by certain investment advisers retaining custody of client securities or funds.

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

Not associated with rulemaking

  77 FR 59026 09/25/2012
77 FR 71461 11/30/2012
No

  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 1,248 2,231 0 0 -983 0
Annual Time Burden (Hours) 63 112 0 0 -49 0
Annual Cost Burden (Dollars) 0 0 0 0 0 0
No
No
The decrease in the annual time burden is attributable to a decrease in the number of SEC-registered advisers that are subject to the surprise examination requirement. As a result, fewer advisors are requireed to file Form ADV-E.

$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.
12/03/2012


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