Rule 17j-1 (17 CFR 270.17j-1) under the Investment Company Act of 1940, Personal Investment Activities of Investment Company Personnel

OMB 3235-0224

Rule 17j-1 requires investment companies and their investment advisers and principal underwriters to establish codes of ethics to prevent affiliated persons from engaging in fraudulent practices and requires these persons to file reports with their employers with respect to their personal securities transactions.

The latest form for Rule 17j-1 (17 CFR 270.17j-1) under the Investment Company Act of 1940, Personal Investment Activities of Investment Company Personnel expires 2022-07-31 and can be found here.

Latest Forms, Documents, and Supporting Material

Document Name
3235-0224.pdf Supplementary Document
3235-0224.pdf Supplementary Document
Rule 17j-1 (2022) Supporting Statement.pdf Supporting Statement A
Rule 17j-1 (17 CFT 270.17j-1) under the Investment Company Act of 1940, Personal Investment Activities of Investment Company Personnel

All Historical Document Collections

202203-3235-013 Approved without change	Extension without change of a currently approved collection	2022-06-06
201902-3235-006 Approved without change	Extension without change of a currently approved collection	2019-05-01
201508-3235-002 Approved without change	Extension without change of a currently approved collection	2016-02-10
201301-3235-005 Approved without change	Extension without change of a currently approved collection	2013-01-30
200911-3235-020 Approved without change	Extension without change of a currently approved collection	2010-02-01
200701-3235-028 Approved without change	Extension without change of a currently approved collection	2007-05-16
200407-3235-008 Approved without change	Extension without change of a currently approved collection	2004-07-01
200108-3235-012 Approved without change	Extension without change of a currently approved collection	2001-08-29
199908-3235-023 Approved without change	No material or nonsubstantive change to a currently approved collection	1999-08-27
199809-3235-006 Approved without change	Extension without change of a currently approved collection	1998-09-16
199509-3235-036 Approved without change	Revision of a currently approved collection	1995-09-27
199209-3235-006 Approved without change	Revision of a currently approved collection	1992-09-29
198910-3235-005 Approved without change	Revision of a currently approved collection	1989-10-03
198610-3235-011 Approved without change	Revision of a currently approved collection	1986-10-27
198309-3235-006 Approved without change	Revision of a currently approved collection	1983-09-27
198111-3235-020 Approved without change	New collection (Request for a new OMB Control Number)	1981-11-06