Rule 3a-4 (17 CFR 270.3a-4) under the Investment Company Act of 1940, "Status of Investment Advisory Programs."

OMB 3235-0459

OMB 3235-0459

Rule 3a-4 provides a nonexclusive safe harbor from the definition of investment company under the Investment Company Act of 1940 for certain programs that provide discretionary investment advisory services to clients.

The latest form for Rule 3a-4 (17 CFR 270.3a-4) under the Investment Company Act of 1940, "Status of Investment Advisory Programs." expires 2022-06-30 and can be found here.

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