OMB.report

Federal forms, ICRs, and supporting documents

OMB control number

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

OMB 3235-0242 · SEC.

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 is listed under ICR 201805-3235-010.

Latest Forms, Documents, and Supporting Material

Latest forms, documents, and information collections
DocumentType
3235-0242 60 Day Notice 2021-27498.pdf Supplementary Document
3235-0242.pdf Supplementary Document
Rule 206(4)-3 (2022) Supporting Statement.pdfSupporting Statement A
Rule 206(4)-3 Information collection

All Historical Document Collections

Historical document collections
ReferenceFilingReceivedConcludedAction
202112-3235-007 Extension without change of a currently approved collection 2022-01-20 Approved without change
202010-3235-008 Revision of a currently approved collection 2020-10-23 Comment filed on proposed rule and continue
201805-3235-010 Extension without change of a currently approved collection 2018-12-20 Approved without change
201505-3235-002 Extension without change of a currently approved collection 2015-11-04 Approved without change
201208-3235-007 Extension without change of a currently approved collection 2012-10-02 Approved without change
201008-3235-005 No material or nonsubstantive change to a currently approved collection 2010-08-04 Approved without change
201008-3235-002 Revision of a currently approved collection 2010-08-03 Approved without change
200908-3235-001 Revision of a currently approved collection 2009-08-18 Preapproved
200708-3235-020 Extension without change of a currently approved collection 2008-01-02 Approved without change
200501-3235-005 Revision of a currently approved collection 2005-01-10 Approved without change
200412-3235-029 Revision of a currently approved collection 2004-12-06 Approved without change
200407-3235-022 Revision of a currently approved collection 2004-07-22 Comment filed on proposed rule and continue
200307-3235-015 Extension without change of a currently approved collection 2003-07-23 Approved without change
200008-3235-001 Extension without change of a currently approved collection 2000-08-01 Approved without change
199707-3235-008 Extension without change of a currently approved collection 1997-07-30 Approved without change
199406-3235-011 Revision of a currently approved collection 1994-06-22 Approved without change
199106-3235-017 Revision of a currently approved collection 1991-06-25 Approved without change
198809-3235-001 Revision of a currently approved collection 1988-09-20 Approved without change
198601-3235-004 Extension without change of a currently approved collection 1986-01-17 Approved without change
198212-3235-010 Extension without change of a currently approved collection 1982-12-03 Approved without change
198111-3235-037 New collection (Request for a new OMB Control Number) 1981-11-03 Approved without change