OMB control number
Rule 3a-8 under the Investment Company Act; Certain Research and Development Companies
OMB 3235-0574 · SEC.
OMB 3235-0574
Rule 3a-8 (17 CFR 270.3a-8) under the Investment Company Act of 1940 applies to research and development companies that rely on the rule's safe harbor from the definition of investment company. The rule requires that the research and development company's board of directors adopt an appropriate resolution evidencing that the company is primarily engaged in non-investment business, record that resolution contemporaneously, and adopt a written investment policy with respect to capital preservation investments. These requirements help ensure involvement of the research and development company's board of directors in determining the company's status under the Investment Company Act of 1940 and as evidence of the company's primary business activities. The requirements also help ensure that adequate records are available for Commission review, if necessary.
The latest form for Rule 3a-8 under the Investment Company Act; Certain Research and Development Companies expires 2029-08-31 and is listed under ICR 202604-3235-002.
Latest Forms, Documents, and Supporting Material
| Document | Type |
|---|---|
 3235-0574_30-Day Submission Notice.pdf.pdf | Supplementary Document |
| 3235-0574_60-Day Collection Notice.pdf | Supplementary Document |
| Supporting Statement_Rule 3a-8.pdf | Supporting Statement A |
 Rule 3a-8 under the Investment Company Act, Certain Research and Development Companies |
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