OMB files this
comment in accordance with 5 CFR 1320.11( c ). This OMB action is
not an approval to conduct or sponsor an information collection
under the Paperwork Reduction Act of 1995. This action has no
effect on any current approvals. If OMB has assigned this ICR a new
OMB Control Number, the OMB Control Number will not appear in the
active inventory. For future submissions of this information
collection, reference the OMB Control Number provided. Resubmit
when proposed rule is finalized.
Inventory as of this Action
Requested
Previously Approved
03/31/2020
36 Months From Approved
03/31/2020
12,024
0
12,024
2,199,791
0
2,199,791
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
The Commission estimates that
the total burden hour associated with rule 204-2 will increase from
2,199,791 hours per year to 2,323,636 hours per year because the
Commission has increased its estimate of the number of respondents
subject to rule 204-2 as well as increased its estimate of the per
investment adviser annual burden due to the proposed amendment to
rule 204-2.
$0
No
No
No
No
No
No
Uncollected
Asaf Barouk 202
551-4029
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.