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

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

⚠️ Notice: This information collection may be referencing outdated material.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

Documents and Forms

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

Information Collection (IC) Details

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:

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 %

	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

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.