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

OMB 3235-0243

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.

All Historical Document Collections
Approved without change
Extension without change of a currently approved collection 2018-09-28
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Extension without change of a currently approved collection 2015-08-21
Approved without change
Extension without change of a currently approved collection 2012-06-04
Approved without change
Extension without change of a currently approved collection 2009-09-23
Approved without change
Extension without change of a currently approved collection 2006-12-21
Approved without change
Extension without change of a currently approved collection 2004-02-12
Approved without change
Extension without change of a currently approved collection 2001-04-10
Approved without change
Extension without change of a currently approved collection 1998-03-11
Approved without change
Extension without change of a currently approved collection 1995-04-17
Approved without change
Revision of a currently approved collection 1992-04-13
Approved without change
Revision of a currently approved collection 1989-04-07
Approved without change
Extension without change of a currently approved collection 1986-05-13
Approved without change
Revision of a currently approved collection 1983-05-17
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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