Information Collection

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

IC 34918 under ICR 202108-3235-021 · OMB 3235-0361.

⚠️ Notice: This information collection may be referencing outdated material.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
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
SEC SORN.pdf SEC SORN-69 IC Document

Information Collection (IC) Details

View Information Collection (IC)

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: 1,447	Number of Respondents for Small Entity: 0

Affected Public: Private Sector	Private Sector: Businesses or other for-profits

Percentage of Respondents Reporting Electronically: 100 %

	Approved	Program Change Due to Agency Discretion	Previously Approved
Annual Number of Responses for this IC	1,776	-11	1,787
Annual IC Time Burden (Hours)	89	0	89
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.