Rule 204A-1

ICR 201906-3235-001

OMB: 3235-0596

Federal Form Document

Forms and Documents
Document
Name
Status
Supporting Statement A
2019-06-06
IC Document Collections
ICR Details
3235-0596 201906-3235-001
Active 201602-3235-005
SEC IM-270-536
Rule 204A-1
Extension without change of a currently approved collection   No
Regular
Approved without change 10/17/2019
Retrieve Notice of Action (NOA) 09/11/2019
  Inventory as of this Action Requested Previously Approved
10/31/2022 36 Months From Approved 11/30/2019
3,108,828 0 3,343,784
1,194,133 0 1,418,703
0 0 0

Rule 204A-1 requires SEC-registered investment advisers to adopt codes of ethics governing their supervised persons.

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

Not associated with rulemaking

  84 FR 28363 06/18/2019
84 FR 46979 09/06/2019
No

1
IC Title Form No. Form Name
Rule 204A-1 under the Investment Advisers Act of 1940 -- Codes of Ethics

  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 3,108,828 3,343,784 0 0 -234,956 0
Annual Time Burden (Hours) 1,194,133 1,418,703 0 0 -224,570 0
Annual Cost Burden (Dollars) 0 0 0 0 0 0
No
No
We have revised the estimated burden based on new information on the number of SEC-registered investment advisers that we obtained from Form ADVs filed through the IARD. The number of responses per investment adviser and the number of hours per response have not changed since the last estimate. The decrease in hour burden is due to a decrease in the estimated number of respondents and responses.

$0
No
    No
    No
No
No
No
Uncollected
Benjamin Tecmire 202 551-7317

  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.
09/11/2019


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