Rule 0-4 under the Investment Advisers Act of 1940, General Requirements of Papers and Applications

ICR 201605-3235-013

OMB: 3235-0633

Federal Form Document

Forms and Documents
Document
Name
Status
Supporting Statement A
2016-11-15
ICR Details
3235-0633 201605-3235-013
Historical Active 201306-3235-005
SEC IM-270-569
Rule 0-4 under the Investment Advisers Act of 1940, General Requirements of Papers and Applications
Extension without change of a currently approved collection   No
Regular
Approved without change 01/12/2017
Retrieve Notice of Action (NOA) 11/15/2016
  Inventory as of this Action Requested Previously Approved
01/31/2020 36 Months From Approved 01/31/2017
12 0 16
1 0 1
402,200 0 702,000

Rule 0-4 under the Investment Advisers Act of 1940 provides general instructions for filing an application with the Commission. Respondents to the collection are applying for orders of the Commission exempting them from one or more provisions of the Investment Advisers Act. Applicants for orders can include registered investment advisers, affiliated persons of registered investment advisers, and issuers seeking to avoid investment adviser status among others.

US Code: 15 USC 80b-1 et. seq. Name of Law: Investment Advisers Act of 1940
  
None

Not associated with rulemaking

  81 FR 53530 08/12/2016
81 FR 71778 10/18/2016
No

1
IC Title Form No. Form Name
Rule 0-4 under the Investment Advisers Act of 1940, General Requirements of Papers and Applications

  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 12 16 0 0 -4 0
Annual Time Burden (Hours) 1 1 0 0 0 0
Annual Cost Burden (Dollars) 402,200 702,000 0 0 -299,800 0
No
No

No
No
No
No
No
Uncollected
Sirimal Murkerjee 202 551-3340

  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.
11/15/2016


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