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

Forms and Documents

Document	Type	Status	Availability
Form SEC 2565 Form ADV-NR	Form	Modified	Available
Form SEC 2565 Rule 0-2 and Form ADV-NR	Form	Modified	Repair queued
2025 04 08_90 FR 15178_3235-0240_30-Day Submission Notice.pdf.pdf	Supplementary Document	Uploaded 2025-04-08	Repair queued
2025 04 08_90 FR 15178_3235-0240_30-Day Submission Notice.pdf.pdf	Supplementary Document	Uploaded 2025-04-08	Repair queued
Supporting Statement.pdf	Supporting Statement A	Uploaded 2025-04-02	Repair queued
Supporting Statement.pdf	Supporting Statement A	Uploaded 2025-04-02	Repair queued
2025 01 30_90 FR 8552_3235-0240_60-Day Collection Notice.pdf	Supplementary Document	Uploaded 2025-01-30	Repair queued
2025 01 30_90 FR 8552_3235-0240_60-Day Collection Notice.pdf	Supplementary Document	Uploaded 2025-01-30	Repair queued

IC Document Collections

IC ID	Collection	Type	Status	Form
34666	Rule 0-2 and Form ADV-NR	Form	Modified	Form ADV-NR
34666	Rule 0-2 and Form ADV-NR	Form	Modified

ICR Details

OMB Control No: 3235-0240	ICR Reference No: 202501-3235-023
Status: Active	Previous ICR Reference No: 202207-3235-002
Agency/Subagency: SEC	Agency Tracking No: IM
Title: Rule 0-2 and Form ADV-NR 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: 08/05/2025
Retrieve Notice of Action (NOA)	Date Received in OIRA: 04/08/2025
Terms of Clearance:

	Inventory as of this Action	Requested	Previously Approved
Expiration Date	08/31/2028	36 Months From Approved	08/31/2025
Responses	41	0	21
Time Burden (Hours)	41	0	21
Cost Burden (Dollars)	0	0	0

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Abstract: 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.

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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:
	90 FR 8552	01/30/2025
30-day Notice:	Federal Register Citation:	Citation Date:
	90 FR 15178	04/08/2025
Did the Agency receive public comments on this ICR? No

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

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

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ICR Summary 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	41	21	0	0	20	0
Annual Time Burden (Hours)	41	21	0	0	20	0
Annual Cost Burden (Dollars)	0	0	0	0	0	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: We estimate that the aggregated annual number of responses would be 41 responses, which is an increase of 20 responses from the previously approved estimate of 21 responses. We estimate that the aggregate annual time burden would be 41 hours, which is an increase of 20 hours from the previously approved estimate of 21 hours. We estimate that the aggregate annual monetized time burden would be $3,444, which is an increase of $1,869 from the previously approved estimate of $1,575. The increases appear to be due to using updated data, regarding persons who have filed Form ADV-NR. These changes in burden also reflect the Commission’s revision and update of burden estimates for all information collections under this OMB control number (whether or not associated with rulemaking changes), and the Commission requested public comment on all information collection burden estimates for this OMB control number.

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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.     No

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: 04/08/2025

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