Rule 206(3)-2 under the Investment Advisers Act of 1940 -- Agency Cross Transactions for Advisory Clients

OMB 3235-0243

Rule 206(3)-2 permits an investment adviser to comply with Section 206(3) of the Investment Advisers Act of 1940 by obtaining a blanket consent from a client to enter into agency cross transactions provided that certain disclosures are made by the adviser to the client.

The latest form for Rule 206(3)-2 under the Investment Advisers Act of 1940 -- Agency Cross Transactions for Advisory Clients expires 2022-02-28 and can be found here.

Latest Forms, Documents, and Supporting Material

Document Name
30 Day Notice.docx Supplementary Document
60 Day Notice.docx Supplementary Document
Supporting Statement - Rule 206(3)-2.pdf Supporting Statement A
Rule 206(3)-2 under the Investment Advisers Act of 1940 -- Agency Cross Transactions for Advisory Clients

All Historical Document Collections

202108-3235-008 Approved with change	Reinstatement with change of a previously approved collection	2022-03-03
201801-3235-009 Approved without change	Extension without change of a currently approved collection	2018-09-28
201501-3235-007 Approved without change	Extension without change of a currently approved collection	2015-08-21
201204-3235-022 Approved without change	Extension without change of a currently approved collection	2012-06-04
200907-3235-003 Approved without change	Extension without change of a currently approved collection	2009-09-23
200609-3235-043 Approved without change	Extension without change of a currently approved collection	2006-12-21
200402-3235-007 Approved without change	Extension without change of a currently approved collection	2004-02-12
200104-3235-001 Approved without change	Extension without change of a currently approved collection	2001-04-10
199803-3235-005 Approved without change	Extension without change of a currently approved collection	1998-03-11
199504-3235-006 Approved without change	Extension without change of a currently approved collection	1995-04-17
199204-3235-002 Approved without change	Revision of a currently approved collection	1992-04-13
198904-3235-002 Approved without change	Revision of a currently approved collection	1989-04-07
198605-3235-004 Approved without change	Extension without change of a currently approved collection	1986-05-13
198305-3235-004 Approved without change	Revision of a currently approved collection	1983-05-17
198212-3235-008 Approved without change	Extension without change of a currently approved collection	1982-12-03
198111-3235-038 Approved without change	New collection (Request for a new OMB Control Number)	1981-11-03