Rule 203-2 and Form ADV-W under the Investment Advisers Act of 1940

Forms and Documents

Forms and supporting documents for this ICR

Document	Type	Status	Availability
Form SEC-777 Rule 203-2 and Form ADV-W under the Investment Advisers Act of 1940	Form	Modified	Available
Form ADV-W Supporting Statement (3-12-2014) (Clean).pdf	Supporting Statement A	Uploaded 2014-08-01	Available

IC Document Collections

Information collection document groups

IC ID	Collection	Type	Status	Form
34823	Rule 203-2 and Form ADV-W under the Investment Advisers Act of 1940	Form	Modified

ICR Details

OMB Control No: 3235-0313	ICR Reference No: 201406-3235-001
Status: Historical Active	Previous ICR Reference No: 201106-3235-020
Agency/Subagency: SEC	Agency Tracking No: IM-270-040
Title: Rule 203-2 and Form ADV-W under the Investment Advisers Act of 1940
Type of Information Collection: Extension without change of a currently approved collection	Common Form ICR:  No
Type of Review Request: Regular
OIRA Conclusion Action: Approved without change	Conclusion Date: 09/17/2014
	Date Received in OIRA: 08/01/2014
Terms of Clearance:

table that charts list comparision

	Inventory as of this Action	Requested	Previously Approved
Expiration Date	09/30/2017	36 Months From Approved	09/30/2014
Responses	800	0	4,250
Time Burden (Hours)	500	0	1,313
Cost Burden (Dollars)	0	0	0

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Abstract: Rule 203-2 under the Investment Advisers Act of 1940 establishes procedures for an investment adviser to withdraw its registration, or a pending registration application, with the Securities and Exchange Commission, and requires every person withdrawing from investment adviser registration with the Commission to file Form ADV-W electronically on the Investment Adviser Registration Depository. The purpose of the information collection is to notify the Commission and the public when each investment adviser withdraws its SEC registration.

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Authorizing Statute(s): US Code: 15 USC 80b Name of Law: Investment Advisers Act of 1940
  

Citations for New Statutory Requirements: US Code: 15 USC 80b-3a(a)(2) Name of Law: Investment Advisers Act of 1940

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Associated Rulemaking Information
RIN:	Stage of Rulemaking:	Federal Register Citation:	Date:
	Not associated with rulemaking

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Federal Register Notices & Comments
60-day Notice:	Federal Register Citation:	Citation Date:
	79 FR 19934	04/10/2014
30-day Notice:	Federal Register Citation:	Citation Date:
	79 FR 35821	06/24/2014
Did the Agency receive public comments on this ICR? No

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Number of Information Collection (IC) in this ICR: 1

table that charts list of burden

IC Title	Form No.	Form Name
Rule 203-2 and Form ADV-W under the Investment Advisers Act of 1940	SEC-777	Form ADV-W

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ICR Summary of Burden

table that charts list of burden

	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	800	4,250	0	0	-3,450	0
Annual Time Burden (Hours)	500	1,313	0	0	-813	0
Annual Cost Burden (Dollars)	0	0	0	0	0	0

Burden increases because of Program Change due to Agency Discretion: No

Burden Increase Due to:

Burden decreases because of Program Change due to Agency Discretion: No

Burden Reduction Due to:

Short Statement: The decrease in the revised total annual collection of information burden for rule 203-2 and Form ADV-W by 813 hours is attributable primarily to the fact that the deadline for mid-sized advisers and pension consultants to withdraw from SEC registration as required by Dodd-Frank has passed.

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Annual Cost to Federal Government: $0

Does this IC contain surveys, censuses, or employ statistical methods? No

Is the Supporting Statement intended to be a Privacy Impact Assessment required by the E-Government Act of 2002? No

Is this ICR related to the Affordable Care Act [Pub. L. 111-148 & 111-152]? No

Is this ICR related to the Dodd-Frank Wall Street Reform and Consumer Protection Act, [Pub. L. 111-203]? No

Is this ICR related to the American Recovery and Reinvestment Act of 2009 (ARRA)? No

Is this ICR related to the Pandemic Response? Uncollected

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Common Form ICR:  No

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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:

(a) It is necessary for the proper performance of agency functions;

(b) It avoids unnecessary duplication;

(c) It reduces burden on small entities;

(d) It uses plain, coherent, and unambiguous language that is understandable to respondents;

(e) Its implementation will be consistent and compatible with current reporting and recordkeeping practices;

(f) It indicates the retention periods for recordkeeping requirements;

(g) It informs respondents of the information called for under 5 CFR 1320.8 (b)(3) about:

(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;

(h) It was developed by an office that has planned and allocated resources for the efficient and effective management and use of the information to be collected.

(i) It uses effective and efficient statistical survey methodology (if applicable); and

(j) It makes appropriate use of information technology.

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.

Certification Date: 08/01/2014

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