Information Collection

Form ADV-E, cover sheet for each certificate of accounting of client securities and funds in custody of an investment adviser.

IC 34918 under ICR 201804-3235-013 · OMB 3235-0361.

⚠️ Notice: This information collection may be referencing outdated material. More recent filings for OMB 3235-0361 can be found here:

Documents and Forms

Documents and forms in this information collection
Document Name	Document Type
Form 2223 Form ADV-E, cover sheet for each certificate of accounting of client securities and funds in custody of an investment adviser.	Form and Instruction
2223 form ADV-E formadv-e.pdf www.sec.gov/about/forms/formadv-e.pdf	Form and Instruction
SEC SORN.pdf SEC SORN-69	IC Document

IC Title:

Form ADV-E, cover sheet for each certificate of accounting of client securities and funds in custody of an investment adviser.

Agency IC Tracking Number:

270-318

Is this a Common Form? No

IC Status: Modified

Obligation to Respond: Mandatory

CFR Citation: 17 CFR 275.206(4)-2

Information Collection Instruments:

table that charts list of instruments
Document Type	Form No.	Form Name	Instrument File	URL	Available Electronically?	Can Be Submitted Electronically?	Electronic Capability
Form and Instruction	2223	form ADV-E	formadv-e.pdf	http://www.sec.gov/about/forms/formadv-e.pdf	Yes	Yes	Fillable Fileable

Line of Business: Economic Development

Subfunction: Financial Sector Oversight

Privacy Act System of Records

Title: Division of Investment Management Records

FR Citation: 83 FR 6893

Number of Respondents: 1,392

Number of Respondents for Small Entity: 73

Affected Public: Private Sector

Private Sector: Businesses or other for-profits

Percentage of Respondents Reporting Electronically: 100 %

table that charts list of burden
	Approved	Change Due to Adjustment in Agency Estimate	Previously Approved
Annual Number of Responses for this IC	1,787	268	1,519
Annual IC Time Burden (Hours)	89	13	76
Annual IC Cost Burden (Dollars)	0	0	0

Documents for IC

table that charts IC Documents
Title	Document	Date Uploaded
SEC SORN-69	SEC SORN.pdf	11/27/2018

Blank fields in records indicate information that was not collected or not collected electronically prior to July 2006.