Rule 204-2 under the Investment Advisers Act of 1940

OMB 3235-0278

OMB 3235-0278

Registered advisers are required to retain copies of each relationship summary, maintain each amendment to the relationship summary as well as to make and preserve a record of dates that each relationship summary and each amendment was delivered to any client or to any prospective client who subsequently becomes a client. The purpose of the information collection is to assist the Commission’s examination and oversight program in determining compliance with the Advisers Act.

The latest form for Rule 204-2 under the Investment Advisers Act of 1940 expires 2022-10-31 and can be found here.

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Revision of a currently approved collection 2020-10-23
Approved with change
Revision of a currently approved collection 2019-08-07
Comment filed on proposed rule and continue
Revision of a currently approved collection 2019-04-09
Comment filed on proposed rule and continue
Revision of a currently approved collection 2018-07-26
Comment filed on proposed rule and continue
Revision of a currently approved collection 2018-01-19
Comment filed on proposed rule and continue
Revision of a currently approved collection 2018-03-19
Approved without change
Revision of a currently approved collection 2016-12-16
Comment filed on proposed rule and continue
Revision of a currently approved collection 2015-11-18
Approved without change
Extension without change of a currently approved collection 2014-04-24
Approved without change
Revision of a currently approved collection 2011-07-19
Comment filed on proposed rule and continue
Revision of a currently approved collection 2010-12-14
Approved without change
Revision of a currently approved collection 2010-10-06
Approved without change
Revision of a currently approved collection 2010-08-05
Preapproved
Revision of a currently approved collection 2009-11-13
Improperly submitted and continue
Revision of a currently approved collection 2009-08-18
Preapproved
Revision of a currently approved collection 2008-07-07
Approved without change
Extension without change of a currently approved collection 2008-01-23
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
Revision of a currently approved collection 2004-07-01
Comment filed on proposed rule and continue
Revision of a currently approved collection 2004-01-22
Approved without change
Revision of a currently approved collection 2003-10-23
Comment filed on proposed rule and continue
Revision of a currently approved collection 2003-02-13
Approved without change
Revision of a currently approved collection 2002-09-25
Approved without change
Revision of a currently approved collection 2000-04-12
Approved without change
No material or nonsubstantive change to a currently approved collection 1999-11-23
Approved without change
Revision of a currently approved collection 1999-08-12
Approved without change
Revision of a currently approved collection 1996-12-26
Approved without change
Revision of a currently approved collection 1995-09-27
Approved without change
Revision of a currently approved collection 1994-06-22
Approved without change
Revision of a currently approved collection 1994-04-11
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
Revision of a currently approved collection 1987-11-12
Approved without change
Revision of a currently approved collection 1986-10-27
Approved without change
Revision of a currently approved collection 1984-02-21
Approved without change
Revision of a currently approved collection 1983-09-07
Approved with change
No material or nonsubstantive change to a currently approved collection 1983-08-16
Approved without change
New collection (Request for a new OMB Control Number) 1982-11-16

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