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Federal forms, ICRs, and supporting documents

OMB control number

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 · SEC.

OMB 3235-0224

Rule 17j-1 (17 CFR 270.17j-1) under the Investment Company Act of 1940 requires codes of ethics to prevent affiliated persons of investment companies and their investment advisers and principal underwriters from engaging in fraudulent, deceptive, or manipulative practices. The rule also includes reporting requirements for affiliated persons to file reports with their investment company, investment adviser, or principal underwriter with respect to their personal securities transactions. The investment company, investment adviser, and principal underwriter must keep records of, among other things, the codes of ethics and certain reports, and make these records available to the Commission or any representative of the Commission at any time and from time to time for reasonable periodic, special or other examination.

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 2028-07-31 and is listed under ICR 202502-3235-016.

Latest Forms, Documents, and Supporting Material

Latest forms, documents, and information collections
DocumentType
2025 05 15_90 FR 20718_3235-0224_30-Day Submission Notice.pdf.pdfSupplementary Document
2025 03 07_90 FR 11560_3235-0224_60-Day Collection Notice.pdfSupplementary Document
Supporting Statement_Rule 17j-1_EXT (2025).pdfSupporting Statement A
Rule 17j-1 (17 CFT 270.17j-1) under the Investment Company Act of 1940, Personal Investment Activities of Investment Company Personnel Instruction

All Historical Document Collections

Historical document collections
ReferenceFilingReceivedConcludedAction
202502-3235-016 Extension without change of a currently approved collection 2025-05-15
202203-3235-013 Extension without change of a currently approved collection 2022-06-06 Approved without change
201902-3235-006 Extension without change of a currently approved collection 2019-05-01 Approved without change
201508-3235-002 Extension without change of a currently approved collection 2016-02-10 Approved without change
201301-3235-005 Extension without change of a currently approved collection 2013-01-30 Approved without change
200911-3235-020 Extension without change of a currently approved collection 2010-02-01 Approved without change
200701-3235-028 Extension without change of a currently approved collection 2007-05-16 Approved without change
200407-3235-008 Extension without change of a currently approved collection 2004-07-01 Approved without change
200108-3235-012 Extension without change of a currently approved collection 2001-08-29 Approved without change
199908-3235-023 No material or nonsubstantive change to a currently approved collection 1999-08-27 Approved without change
199809-3235-006 Extension without change of a currently approved collection 1998-09-16 Approved without change
199509-3235-036 Revision of a currently approved collection 1995-09-27 Approved without change
199209-3235-006 Revision of a currently approved collection 1992-09-29 Approved without change
198910-3235-005 Revision of a currently approved collection 1989-10-03 Approved without change
198610-3235-011 Revision of a currently approved collection 1986-10-27 Approved without change
198309-3235-006 Revision of a currently approved collection 1983-09-27 Approved without change
198111-3235-020 New collection (Request for a new OMB Control Number) 1981-11-06 Approved without change