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

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.

Latest Forms, Documents, and Supporting Material

Document Name
3235-0047.pdf Supplementary Document
3235-0047.pdf Supplementary Document
Rule 204-3 (2022) Supporting Statement.pdf Supporting Statement A
Rule 204-3 under the Investment Advisers Act of 1940 -- Written Disclosure Statements

All Historical Document Collections

202207-3235-019 Approved without change	Extension without change of a currently approved collection	2022-09-02
202204-3235-003 Comment filed on proposed rule and continue	Revision of a currently approved collection	2022-04-14
201905-3235-011 Approved with change	Extension without change of a currently approved collection	2019-08-06
201602-3235-006 Approved without change	Extension without change of a currently approved collection	2016-08-09
201307-3235-018 Approved without change	Extension without change of a currently approved collection	2013-08-05
201008-3235-022 Approved with change	Revision of a currently approved collection	2010-08-31
200803-3235-012 Comment filed on proposed rule and continue	Revision of a currently approved collection	2008-03-14
200708-3235-014 Approved without change	Extension without change of a currently approved collection	2007-12-13
200501-3235-007 Approved without change	Revision of a currently approved collection	2005-01-10
200412-3235-023 Approved without change	Revision of a currently approved collection	2004-12-06
200407-3235-021 Comment filed on proposed rule and continue	Revision of a currently approved collection	2004-07-22
200304-3235-004 Approved without change	Extension without change of a currently approved collection	2003-04-15
200004-3235-004 Approved without change	Revision of a currently approved collection	2000-04-12
200002-3235-009 Approved without change	Extension without change of a currently approved collection	2000-02-23
199701-3235-002 Approved without change	Extension without change of a currently approved collection	1997-01-03
199402-3235-018 Approved without change	Revision of a currently approved collection	1994-02-09
199110-3235-013 Approved without change	Revision of a currently approved collection	1991-10-31
198811-3235-008 Approved without change	Revision of a currently approved collection	1988-11-23
198512-3235-010 Approved without change	Extension without change of a currently approved collection	1985-12-27
198410-3235-031 Approved without change	Reinstatement with change of a previously approved collection	1984-10-18
198107-3235-024 Approved without change	New collection (Request for a new OMB Control Number)	1981-07-29