Rule 204-3 (17 CFR 275.204-3) under the Investment Advisers Act of 1940

OMB 3235-0047

OMB 3235-0047

The rule requires investment advisers to deliver to their clients a written disclosure statement, or "brochure," of specified information concerning the background and business practices of the investment adviser. Investors use the information to determine whether to retain or continue to employ the investment adviser.

The latest form for Rule 204-3 (17 CFR 275.204-3) under the Investment Advisers Act of 1940 expires 2022-11-30 and can be found here.

All Historical Document Collections
Approved with change
Extension without change of a currently approved collection 2019-08-06
Approved without change
Extension without change of a currently approved collection 2016-08-09
Approved without change
Extension without change of a currently approved collection 2013-08-05
Approved with change
Revision of a currently approved collection 2010-08-31
Comment filed on proposed rule and continue
Revision of a currently approved collection 2008-03-14
Approved without change
Extension without change of a currently approved collection 2007-12-13
Approved without change
Revision of a currently approved collection 2005-01-10
Approved without change
Revision of a currently approved collection 2004-12-06
Comment filed on proposed rule and continue
Revision of a currently approved collection 2004-07-22
Approved without change
Extension without change of a currently approved collection 2003-04-15
Approved without change
Revision of a currently approved collection 2000-04-12
Approved without change
Extension without change of a currently approved collection 2000-02-23
Approved without change
Extension without change of a currently approved collection 1997-01-03
Approved without change
Revision of a currently approved collection 1994-02-09
Approved without change
Revision of a currently approved collection 1991-10-31
Approved without change
Revision of a currently approved collection 1988-11-23
Approved without change
Extension without change of a currently approved collection 1985-12-27
Approved without change
Reinstatement with change of a previously approved collection 1984-10-18
Approved without change
New collection (Request for a new OMB Control Number) 1981-07-29

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