Rule 204-2 under the Investment Advisers Act of 1940

ICR 201510-3235-022

OMB: 3235-0278

Federal Form Document

Forms and Documents
Document
Name
Status
Supporting Statement A
2015-11-18
IC Document Collections
ICR Details
3235-0278 201510-3235-022
Historical Inactive 201403-3235-016
SEC IM-270-215
Rule 204-2 under the Investment Advisers Act of 1940
Revision of a currently approved collection   No
Regular
Comment filed on proposed rule and continue 01/08/2016
Retrieve Notice of Action (NOA) 11/18/2015
Pursuant to 5 CFR 1320.11(c), OMB files this comment on this information collection request (ICR. The agency shall examine public comment in response to the NPRM and will describe in the supporting statement of its next collection any public comments received regarding the collection as well as why (or why it did not) incorporate the commenter’s recommendation. The next submission to OMB must include the draft final rule.
  Inventory as of this Action Requested Previously Approved
07/31/2017 36 Months From Approved 07/31/2017
10,946 0 10,946
1,986,152 0 1,986,152
0 0 0

Rule 204-2 sets forth the books and records that SEC-registered investment advisers must maintain and preserve.

US Code: 15 USC 80b Name of Law: Investment Advisers Act of 1940
  
PL: Pub.L. 111 - 213 410 Name of Law: Dodd-Frank Wall Street Reform and Consumer Protection Act

3235-AL75 Proposed rulemaking 80 FR 33717 07/02/2015

No

1
IC Title Form No. Form Name
Rule 204-2, Books and Records to Be Maintained by Investment Advisers

Yes
Changing Regulations
No
We estimate that the total burden hour associated with rule 204-2 will increase from 1,986,152 hours per year to 2,110,620 hours per year because we have increased our estimate of the number of respondents subject to the rule as well as increased our estimate of the per adviser annual burden due to the proposed amendments to rule 204-2.

$0
No
No
No
Yes
No
Uncollected
Bridget Farrell 202 551-6834

  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.
11/18/2015


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