Rule 0-4 under the Investment Advisers Act of 1940, General Requirements of Papers and Applications

Forms and Documents

Document	Type	Status	Availability
3235-0633 60 Day Notice.pdf	Supplementary Document	Uploaded 2020-01-06	Available
3235-0633 30 Day Notice #2.pdf	Supplementary Document	Uploaded 2020-01-06	Available
Rule 0-4 60 Day Notice (final).doc	Supplementary Document	Uploaded 2019-09-30	Repair queued
Rule 0-4 30 Day Notice (final).doc	Supplementary Document	Uploaded 2019-09-30	Repair queued
Rule 0-4 Supporting Statement (final).pdf	Supporting Statement A	Uploaded 2019-09-30	Available

IC Document Collections

IC ID	Collection	Type	Status	Form
181260	Rule 0-4 under the Investment Advisers Act of 1940, General Requirements of Papers and Applications		Modified

ICR Details

OMB Control No: 3235-0633	ICR Reference No: 201908-3235-002
Status: Active	Previous ICR Reference No: 201605-3235-013
Agency/Subagency: SEC	Agency Tracking No: IM-270-569
Title: Rule 0-4 under the Investment Advisers Act of 1940, General Requirements of Papers and Applications
Type of Information Collection: Extension without change of a currently approved collection	Common Form ICR:  No
Type of Review Request: Regular
OIRA Conclusion Action: Approved without change	Conclusion Date: 03/25/2020
	Date Received in OIRA: 01/06/2020
Terms of Clearance:

	Inventory as of this Action	Requested	Previously Approved
Expiration Date	03/31/2023	36 Months From Approved	03/31/2020
Responses	7	0	12
Time Burden (Hours)	1	0	1
Cost Burden (Dollars)	392,500	0	402,200

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Abstract: Rule 0-4 requires that every application for an Order for which a form is not specifically prescribed and which is executed by a corporation, partnership or other company and filed with the Commission contain a statement of the applicable provisions of the articles of incorporation, bylaws or similar documents, relating to the right of the person signing and filing such application to take such action on behalf of the applicant, and a statement that all such requirements have been complied with and that the person signing and filing the application is fully authorized to act.

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Authorizing Statute(s): US Code: 15 USC 80b-1 et. seq. Name of Law: Investment Advisers Act of 1940
  

Citations for New Statutory Requirements: None

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Associated Rulemaking Information
RIN:	Stage of Rulemaking:	Federal Register Citation:	Date:
	Not associated with rulemaking

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Federal Register Notices & Comments
60-day Notice:	Federal Register Citation:	Citation Date:
	84 FR 57903	10/29/2019
30-day Notice:	Federal Register Citation:	Citation Date:
	85 FR 156	01/02/2020
Did the Agency receive public comments on this ICR? No

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Number of Information Collection (IC) in this ICR: 1

IC Title	Form No.	Form Name
Rule 0-4 under the Investment Advisers Act of 1940, General Requirements of Papers and Applications

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ICR Summary of Burden

	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	7	12	0	-5	0	0
Annual Time Burden (Hours)	1	1	0	0	0	0
Annual Cost Burden (Dollars)	392,500	402,200	0	-9,700	0	0

Burden increases because of Program Change due to Agency Discretion: No

Burden Increase Due to:

Burden decreases because of Program Change due to Agency Discretion: No

Burden Reduction Due to:

Short Statement:

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Annual Cost to Federal Government:

Does this IC contain surveys, censuses, or employ statistical methods? No

Does this ICR request any personally identifiable information (see OMB Circular No. A-130 for an explanation of this term)? Please consult with your agency's privacy program when making this determination.     No

Does this ICR include a form that requires a Privacy Act Statement (see 5 U.S.C. §552a(e)(3))? Please consult with your agency's privacy program when making this determination.     No

Is this ICR related to the Affordable Care Act [Pub. L. 111-148 & 111-152]? No

Is this ICR related to the Dodd-Frank Wall Street Reform and Consumer Protection Act, [Pub. L. 111-203]? No

Is this ICR related to the American Recovery and Reinvestment Act of 2009 (ARRA)? No

Is this ICR related to the Pandemic Response? Uncollected

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Common Form ICR:  No

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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:

(a) It is necessary for the proper performance of agency functions;

(b) It avoids unnecessary duplication;

(c) It reduces burden on small entities;

(d) It uses plain, coherent, and unambiguous language that is understandable to respondents;

(e) Its implementation will be consistent and compatible with current reporting and recordkeeping practices;

(f) It indicates the retention periods for recordkeeping requirements;

(g) It informs respondents of the information called for under 5 CFR 1320.8 (b)(3) about:

(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;

(h) It was developed by an office that has planned and allocated resources for the efficient and effective management and use of the information to be collected.

(i) It uses effective and efficient statistical survey methodology (if applicable); and

(j) It makes appropriate use of information technology.

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.

Certification Date: 01/06/2020

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