Investment Advisers Act rule 206(4)-7, 17 C.F.R. Sec. 275.206(4)- 7, Compliance procedures and practices.

ICR 201902-3235-009

OMB: 3235-0585

Federal Form Document

Forms and Documents
Document
Name
Status
Supplementary Document
2019-05-21
Supplementary Document
2019-05-21
Supporting Statement A
2019-02-12
IC Document Collections
ICR Details
3235-0585 201902-3235-009
Active 201512-3235-020
SEC IM-270-523
Investment Advisers Act rule 206(4)-7, 17 C.F.R. Sec. 275.206(4)- 7, Compliance procedures and practices.
Extension without change of a currently approved collection   No
Regular
Approved without change 08/01/2019
Retrieve Notice of Action (NOA) 05/21/2019
  Inventory as of this Action Requested Previously Approved
08/31/2022 36 Months From Approved 08/31/2019
13,249 0 12,026
1,152,663 0 1,046,262
0 0 0

Rule 206(4)-7 requires investment advisers registered with the Commission to adopt and implement compliance policies and procedures, to review those policies and procedures annually, and to designate a chief compliance officer.

US Code: 15 USC 80b-6 Name of Law: Investment Advisers Act of 1940
  
None

Not associated with rulemaking

  84 FR 4109 02/14/2019
84 FR 16746 04/22/2019
No

1
IC Title Form No. Form Name
Rule 206(4)-7 under the Investment Advisers Act of 1940 - Compliance Procedures and Practices

  Total Approved Previously Approved Change Due to New Statute Change Due to Agency Discretion Change Due to Adjustment in Estimate Change Due to Potential Violation of the PRA
Annual Number of Responses 13,249 12,026 0 0 1,223 0
Annual Time Burden (Hours) 1,152,663 1,046,262 0 0 106,401 0
Annual Cost Burden (Dollars) 0 0 0 0 0 0
No
No
We have revised the estimated hour burden based on new information on the number of SEC-registered investment advisers. The revised number of registered investment advisers was obtained from Form ADVs filed through the IARD as of October 31, 2018. The cost burden remained zero.

$0
No
    No
    No
No
No
No
Uncollected
Olawale Oriola 202 551-6541

  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.
05/21/2019


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