Rule 206(4)-6 Under the Investment Advisers Act of 1940 (17 CFR 275.206(4)-6)

OMB 3235-0571

OMB 3235-0571

Rule 206(4)-6 requires investment advisers to adopt and implement written policies and procedures reasonably designed to ensure the adviser votes client proxies in the best interest of the clients. The rule requires disclosure of these policies and procedures to clients, as well as information on how clients can obtain information from the adviser about how the adviser voted the client's securities.

The latest form for Rule 206(4)-6 Under the Investment Advisers Act of 1940 (17 CFR 275.206(4)-6) expires 2023-08-31 and can be found here.

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