Rule 203-2 and Form ADV-W under the Investment Advisers Act of 1940

Forms and Documents

Forms and supporting documents for this ICR

Document	Type	Status	Availability
Form SEC-777 Form ADV-W	Form	Modified	Available
3235-0313_30-Day Submission Notice.pdf.pdf	Supplementary Document	Uploaded 2026-06-04	Available
3235-0313_60-Day Collection Notice.pdf	Supplementary Document	Uploaded 2026-04-01	Available
Supporting Statement_Form ADV-W.pdf	Supporting Statement A	Uploaded 2026-03-27	Available

IC Document Collections

Information collection document groups

IC ID	Collection	Type	Status	Form
34823	Rule 203-2 and Form ADV-W under the Investment Advisers Act of 1940	Form	Modified	Form ADV-W

ICR Details

OMB Control No: 3235-0313	ICR Reference No: 202603-3235-021
Status: Received in OIRA	Previous ICR Reference No: 202303-3235-034
Agency/Subagency: SEC	Agency Tracking No: IM
Title: Rule 203-2 and Form ADV-W 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	Date Submitted to OIRA: 06/04/2026

table that charts list comparision

	Requested	Previously Approved
Expiration Date	36 Months From Approved	08/31/2026
Responses	1,553	1,416
Time Burden (Hours)	828	739
Cost Burden (Dollars)	0	0

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Abstract: Rule 203-2 (17 CFR § 275.203-2) under the Investment Advisers Act of 1940 establishes procedures for an investment adviser to withdraw its registration, or a pending registration application, with the Securities and Exchange Commission (the “Commission”) and requires every person withdrawing from investment adviser registration with the Commission to file Form ADV-W electronically on the Investment Adviser Registration Depository. A copy of Form ADV-W must be preserved in the investment adviser’s records. The potential respondents to this information collection are investment advisers registered with the Commission that withdraw their registrations or pending registrations with the Commission. The collection of information constitutes a reporting requirement and is necessary to ensure that the Commission and the public are notified when each of these investment advisers withdraws its registration.

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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:
	91 FR 16267	04/01/2026
30-day Notice:	Federal Register Citation:	Citation Date:
	91 FR 33839	06/04/2026
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
Rule 203-2 and Form ADV-W under the Investment Advisers Act of 1940	SEC-777	Form ADV-W

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ICR Summary of Burden

table that charts list of burden

	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	1,553	1,416	0	0	137	0
Annual Time Burden (Hours)	828	739	0	0	89	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: The revised total annual collection of information burden for rule 203-2 and Form ADV-W is estimated to be 828.25 hours. This burden represents an increase of 89.25 hours from the current approved burden, which is attributable primarily to the fact that more investment advisers have filed Form ADV-W in recent staff experience.

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Annual Cost to Federal Government:

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: 06/04/2026

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