Rule 206(4)-3 under the Investment Advisers Act of 1940 (17 CFR 275.206(4)-3)

OMB 3235-0242

OMB 3235-0242

Rule 206(4)-3 imposes restrictions on cash payments for client solicitations and imposes certain disclosure requirements. The information is necessary to inform advisory clients about the nature of a solicitor's financial interest in a recommendation so clients may consider the solicitor's potential bias prior to engaging the adviser.

The latest form for Rule 206(4)-3 under the Investment Advisers Act of 1940 (17 CFR 275.206(4)-3) expires 2022-02-28 and can be found here.

Latest Forms, Documents, and Supporting Material
All Historical Document Collections
Comment filed on proposed rule and continue
Revision of a currently approved collection 2020-10-23
Approved without change
Extension without change of a currently approved collection 2018-12-20
Approved without change
Extension without change of a currently approved collection 2015-11-04
Approved without change
Extension without change of a currently approved collection 2012-10-02
Approved without change
No material or nonsubstantive change to a currently approved collection 2010-08-04
Approved without change
Revision of a currently approved collection 2010-08-03
Preapproved
Revision of a currently approved collection 2009-08-18
Approved without change
Extension without change of a currently approved collection 2008-01-02
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 2003-07-23
Approved without change
Extension without change of a currently approved collection 2000-08-01
Approved without change
Extension without change of a currently approved collection 1997-07-30
Approved without change
Revision of a currently approved collection 1994-06-22
Approved without change
Revision of a currently approved collection 1991-06-25
Approved without change
Revision of a currently approved collection 1988-09-20
Approved without change
Extension without change of a currently approved collection 1986-01-17
Approved without change
Extension without change of a currently approved collection 1982-12-03
Approved without change
New collection (Request for a new OMB Control Number) 1981-11-03

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