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

ICR 201406-3235-001

OMB: 3235-0313

Federal Form Document

IC Document Collections
ICR Details
3235-0313 201406-3235-001
Historical Active 201106-3235-020
SEC IM-270-040
Rule 203-2 and Form ADV-W under the Investment Advisers Act of 1940
Extension without change of a currently approved collection   No
Regular
Approved without change 09/17/2014
Retrieve Notice of Action (NOA) 08/01/2014
  Inventory as of this Action Requested Previously Approved
09/30/2017 36 Months From Approved 09/30/2014
800 0 4,250
500 0 1,313
0 0 0

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.

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

Not associated with rulemaking

  79 FR 19934 04/10/2014
79 FR 35821 06/24/2014
No

1
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

  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
No
No
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.

$0
No
No
No
No
No
Uncollected
Rachel Loko 202 551-6883

  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.
08/01/2014


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