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

ICR 202207-3235-001

OMB: 3235-0633

Federal Form Document

Forms and Documents
Document
Name
Status
Supporting Statement A
2022-07-01
ICR Details
3235-0633 202207-3235-001
Received in OIRA 201908-3235-002
SEC IM-270-569
Rule 0-4 under the Investment Advisers Act of 1940, General Requirements of Papers and Applications
Revision of a currently approved collection   No
Regular 07/12/2022
  Requested Previously Approved
36 Months From Approved 03/31/2023
7 7
1 1
405,210 392,500

Rule 0-4 sets forth general requirements of papers and applications made under the Investment Advisers Act of 1940.

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

3235-AM97 Final or interim final rulemaking 87 FR 11111 07/01/2022

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 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 7 7 0 0 0 0
Annual Time Burden (Hours) 1 1 0 0 0 0
Annual Cost Burden (Dollars) 405,210 392,500 0 12,710 0 0
No
No

No
    No
    No
No
No
No
No
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.
07/12/2022


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