Form ADV-H under the Investment Advisers Act of 1940

Forms and Documents

Forms and supporting documents for this ICR

Document	Type	Status	Availability
Form SEC-2566 ADV-H	Form	Modified	Available
Form SEC-2566 Form ADV-H	Form	Modified	Repair queued
3235-0538.pdf	Supplementary Document	Uploaded 2023-05-10	Repair queued
3235-0538.pdf	Supplementary Document	Uploaded 2023-05-10	Repair queued
Form ADV- H (2023) Supporting Statement.pdf	Supporting Statement A	Uploaded 2023-02-16	Repair queued

IC Document Collections

Information collection document groups

IC ID	Collection	Type	Status	Form
35351	Form ADV-H	Form	Modified	ADV-H
35351	Form ADV-H	Form	Modified

ICR Details

OMB Control No: 3235-0538	ICR Reference No: 202302-3235-020
Status: Historical Active	Previous ICR Reference No: 202005-3235-006
Agency/Subagency: SEC	Agency Tracking No: IM-270-481
Title: Form ADV-H under the Investment Advisers Act of 1940
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: 07/13/2023
Retrieve Notice of Action (NOA)	Date Received in OIRA: 05/10/2023
Terms of Clearance:

table that charts list comparision

	Inventory as of this Action	Requested	Previously Approved
Expiration Date	07/31/2026	36 Months From Approved	09/30/2023
Responses	1	0	16
Time Burden (Hours)	1	0	16
Cost Burden (Dollars)	0	0	3,504

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Abstract: The purpose of the collection of information is to enable the Commission to process requests for temporary hardship exemptions and to determine whether to grant a continuing hardship exemption from the requirement for advisers to make filings electronically through the Investment Adviser Registration Depository, pursuant to the Investment Advisers Act of 1940.

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Authorizing Statute(s): US Code: 15 USC 80b 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:
	88 FR 12998	03/01/2023
30-day Notice:	Federal Register Citation:	Citation Date:
	88 FR 29729	05/08/2023
Did the Agency receive public comments on this ICR? No

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

table that charts list of burden

IC Title	Form No.	Form Name
Form ADV-H	SEC-2566	ADV-H

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ICR Summary of Burden

table that charts list 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	1	16	0	0	-15	0
Annual Time Burden (Hours)	1	16	0	0	-15	0
Annual Cost Burden (Dollars)	0	3,504	0	0	-3,504	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: The annual aggregate estimate of 20,926 respondents represents an increase of 3,073 respondents from the previously approved estimate of 17,853 respondents. The annual aggregate estimate of 1 response represents a decrease of 15 responses from the previously approved estimate of 16 responses. The annual aggregate estimated time burden of one hour represents a decrease of 15 hours from the previously approved estimate of 16 hours. The annual aggregate estimated monetized time burden of $237 represents a decrease of $3,267 from the previously approved estimate of $3,504. The changes are due to using updated data. The annual aggregate estimated cost burden of $0 represents a decrease of the entire previously approved estimate of $3,504, to correct an error. Specifically, the previously approved information collection correctly stated in Item 13 of the Supporting Statement that there was no cost burden other than the cost of the hour burden (i.e, the monetized time burden), but the previously approved information collection also erroneously listed the monetized time burden of $3,504 as the cost burden, which should have been listed as $0. The number of hours per response has not changed since the last estimate.

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Annual Cost to Federal Government: $0

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.     Yes

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.     Yes

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? No

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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: 05/10/2023

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