Exemption for Certain Multi-State Investment Advisers (Rule 203A-2(d))

ICR 201404-3235-005

OMB: 3235-0689

Federal Form Document

Forms and Documents
Document
Name
Status
Supporting Statement A
2014-04-23
IC Document Collections
ICR Details
3235-0689 201404-3235-005
Historical Active 201106-3235-021
SEC IM-270-630
Exemption for Certain Multi-State Investment Advisers (Rule 203A-2(d))
Extension without change of a currently approved collection   No
Regular
Approved without change 07/06/2014
Retrieve Notice of Action (NOA) 04/23/2014
  Inventory as of this Action Requested Previously Approved
07/31/2017 36 Months From Approved 08/31/2014
152 0 155
1,216 0 1,240
0 0 0

Rule 203A-2(d) under the Investment Advisers Act of 1940 permits all investment advisers required to register as advisers with 15 or more states to register with the Commission, and requires any adviser relying on the rule to maintain in an easily accessible place a record of the states in which the investment adviser has determined it would be required to register for a period of not less that five years from the filing of a Form ADV relying on the rule.

US Code: 15 USC 80b-11(a) Name of Law: Investment Advisers Act of 1940
   US Code: 15 USC 80b-3a(c) Name of Law: Investment Advisers Act of 1940
  
None

Not associated with rulemaking

  79 FR 6660 02/04/2014
79 FR 19933 04/10/2014
Yes

1
IC Title Form No. Form Name
Exemption for Certain Multi-State Investment Advisers (Rule 203A-2(d))

  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 152 155 0 0 -3 0
Annual Time Burden (Hours) 1,216 1,240 0 0 -24 0
Annual Cost Burden (Dollars) 0 0 0 0 0 0
No
No
We have revised the estimated annual aggregate burden from 1,240 hours to 1,216 hours based on new information on the number of SEC-registered investment advisers that we obtained from Form ADVs filed through the IARD. The number of responses per investment adviser and the number of hours per response have not changed since the last estimate. The decrease in hour burden is due to a decrease in the estimated number of respondents.

No
No
No
No
No
Uncollected
Aaron Gilbride 202 551-6906

  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.
04/23/2014


© 2024 OMB.report | Privacy Policy