Rule 206(4)-4 (17 CFR 275.206(4)-4) under the Investment Advisers Act of 1940, Adviser Business Continuity and Transition Plans

ICR 201705-3235-008

OMB: 3235-0755

Federal Form Document

Forms and Documents
Document
Name
Status
Supporting Statement A
2017-06-05
ICR Details
3235-0755 201705-3235-008
Historical Inactive 201612-3235-010
SEC IM-270-804
Rule 206(4)-4 (17 CFR 275.206(4)-4) under the Investment Advisers Act of 1940, Adviser Business Continuity and Transition Plans
New collection (Request for a new OMB Control Number)   No
Regular
Comment filed on proposed rule 11/19/2017
Retrieve Notice of Action (NOA) 06/05/2017
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
36 Months From Approved
0 0 0
0 0 0
0 0 0

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.

US Code: 15 USC 80b-1 et seq. Name of Law: Investment Advisers Act of 1940
  
US Code: 15 USC 80b-1 et seq. Name of Law: Investment Advisers Act of 1940

3235-AL62 Proposed rulemaking 81 FR 43530 07/05/2016

No

No
No
Not applicable. The request for approval of the collection of information for this rule has not been previously approved by OMB.

No
No
No
No
No
Uncollected
John Foley 202 551-6724

  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.
06/05/2017


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