Rule 0-2 and Form ADV-NR under the Investment Advisers Act of 1940

ICR 202111-3235-009

OMB: 3235-0240

Federal Form Document

Forms and Documents
Document
Name
Status
Form
Modified
Supporting Statement A
2021-12-01
IC Document Collections
IC ID
Document
Title
Status
34666 Modified
ICR Details
3235-0240 202111-3235-009
Received in OIRA 202004-3235-022
SEC IM-270-214
Rule 0-2 and Form ADV-NR under the Investment Advisers Act of 1940
Revision of a currently approved collection   No
Regular 01/13/2022
  Requested Previously Approved
36 Months From Approved 09/30/2023
49 53
49 53
0 0

Rule 0-2 and Form ADV-NR require consent to service of process to be furnished by non-resident general partners and non-resident managing agents of both SEC-registered investment advisers and exempt reporting advisers.

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

3235-AM97 Proposed rulemaking 86 FR 64839 11/19/2021

No

1
IC Title Form No. Form Name
Rule 0-2 and Form ADV-NR SEC 2565 Form ADV-NR

  Total Request 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 49 53 0 -4 0 0
Annual Time Burden (Hours) 49 53 0 -4 0 0
Annual Cost Burden (Dollars) 0 0 0 0 0 0
No
Yes
Miscellaneous Actions
We estimate that the revised total annual collection of information burden for Rule 0-2 and Form ADV-NR would be 49 hours, which is a decrease of 4 hours from the current approved burden of 53 hours. This decrease appears to be primarily due to using updated data, which shows that less persons have filed Form ADV-NR.

$0
No
    Yes
    No
No
No
No
Yes
Alexis Palascak 202 551-6246

  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.
01/13/2022


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