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

ICR 201908-3235-002

OMB: 3235-0633

Federal Form Document

Forms and Documents
Document
Name
Status
Supplementary Document
2020-01-06
Supplementary Document
2020-01-06
Supplementary Document
2019-09-30
Supplementary Document
2019-09-30
Supporting Statement A
2019-09-30
ICR Details
3235-0633 201908-3235-002
Active 201605-3235-013
SEC IM-270-569
Rule 0-4 under the Investment Advisers Act of 1940, General Requirements of Papers and Applications
Extension without change of a currently approved collection   No
Regular
Approved without change 03/25/2020
Retrieve Notice of Action (NOA) 01/06/2020
  Inventory as of this Action Requested Previously Approved
03/31/2023 36 Months From Approved 03/31/2020
7 0 12
1 0 1
392,500 0 402,200

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.

US Code: 15 USC 80b-1 et. seq. Name of Law: Investment Advisers Act of 1940
  
None

Not associated with rulemaking

  84 FR 57903 10/29/2019
85 FR 156 01/02/2020
No

1
IC Title Form No. Form Name
Rule 0-4 under the Investment Advisers Act of 1940, General Requirements of Papers and Applications

  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
No
No

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.
01/06/2020


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