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
36 Months From Approved
Proposed new rule 206(4)-4 under the
Investment Advisers Act of 1940 would require SEC-registered
investment advisers to adopt and implement written business
continuity and transition plans reasonably designed to address
operational and other risks related to a significant disruption in
the investment adviser’s operations.