OMB control number
Rule 206(4)-6 Under the Investment Advisers Act of 1940 (17 CFR 275.206(4)-6)
OMB 3235-0571 · SEC.
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 2026-10-31 and is listed under ICR 202303-3235-033.
Latest Forms, Documents, and Supporting Material
| Document | Type |
|---|---|
 3235-0571_30-Day Submission Notice.pdf.pdf | Supplementary Document |
| 3235-0571_60-Day Collection Notice.pdf | Supplementary Document |
| Supporting Statement_Rule 206(4)-6.pdf | Supporting Statement A |
 Rule 206(4)-6 Under the Investment Advisers Act of 1940 |
Information collection |