OMB.report

Federal forms, ICRs, and supporting documents

OMB control number

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

OMB 3235-0459 · SEC.

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 2028-03-31 and is listed under ICR 202410-3235-010.

Latest Forms, Documents, and Supporting Material

Latest forms, documents, and information collections
DocumentType
2025 01 10_90 FR 2049_3235-0459_30-Day Submission Notice.pdf.pdfSupplementary Document
89 FR 87680 (OMB 3235–0459).pdfSupplementary Document
89 FR 87680 (OMB 3235–0459).pdf Supplementary Document
Supporting Statement_Rule 3a-4.pdfSupporting Statement A
Investment Company Act Rule 3a-4 Information collection

All Historical Document Collections

Historical document collections
ReferenceFilingReceivedConcludedAction
202410-3235-010 Extension without change of a currently approved collection 2025-01-10
202201-3235-005 Extension without change of a currently approved collection 2022-01-27 Disapproved and continue
202112-3235-013 Revision of a currently approved collection 2022-03-21 Approved without change
201902-3235-017 Extension without change of a currently approved collection 2019-03-28 Approved without change
201510-3235-003 Extension without change of a currently approved collection 2016-03-02 Approved without change
201211-3235-032 Extension without change of a currently approved collection 2012-12-03 Approved without change
200912-3235-002 Extension without change of a currently approved collection 2010-03-02 Approved without change
200701-3235-029 Extension without change of a currently approved collection 2007-05-16 Approved without change
200407-3235-005 Extension without change of a currently approved collection 2004-07-01 Approved without change
200108-3235-001 Extension without change of a currently approved collection 2001-08-01 Approved without change
199809-3235-002 Extension without change of a currently approved collection 1998-09-02 Approved without change
199704-3235-010 No material or nonsubstantive change to a currently approved collection 1997-04-02 Approved with change
199508-3235-005 New collection (Request for a new OMB Control Number) 1995-08-09 Approved without change