Rule 204-2 under the Investment Advisers Act of 1940

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.