OMB control number
Rule 204-2 under the Investment Advisers Act of 1940
OMB 3235-0278 · SEC.
OMB 3235-0278
Rule 204-2 (17 CFR 275.204-2) under the Investment Advisers Act (15 U.S.C. 80b-4) sets forth mandatory requirements for maintaining and preserving specified books and records. The purpose of the information collection in rule 204-2 is to assist the Commission’s examination and oversight program in determining compliance with the Advisers Act and corresponding rules. The collection of information under rule 204-2 is necessary for the Commission staff to use in its examination and oversight program. The respondents are investment advisers registered with the Commission. The investment adviser must maintain and preserve specific books and records required under the rule and must 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 204-2 under the Investment Advisers Act of 1940 expires 2029-06-30 and is listed under ICR 202512-3235-015.
Latest Forms, Documents, and Supporting Material
| Document | Type |
|---|---|
 20260304_3235-0278_2026-04235_91 FR 10651_30-Day Submission Notice.pdf.pdf | Supplementary Document |
| 20251216_3235-0278_2025-22947_90 FR 58349_60-Day Collection Notice.pdf | Supplementary Document |
| Supporting Statement_Rule 204-2.pdf | Supporting Statement A |
 Rule 204-2, Books and Records to Be Maintained by Investment Advisers |
Information collection |