Rule 206(4)-7 requires investment advisers registered with the Commission to adopt and implement compliance policies and procedures, to review those policies and procedures annually, and to designate a chief compliance officer.
The latest form for Investment Advisers Act rule 206(4)-7, 17 C.F.R. Sec. 275.206(4)- 7, Compliance procedures and practices. expires 2022-08-31 and can be found here.
Document Name |
---|
Supporting Statement A |
Supplementary Document |
Comment filed on proposed rule |
Revision of a currently approved collection | 2022-10-17 | |
Approved without change |
Extension without change of a currently approved collection | 2022-01-20 | |
Approved without change |
Extension without change of a currently approved collection | 2019-05-21 | |
Approved without change |
Extension without change of a currently approved collection | 2016-04-22 | |
Approved without change |
Extension without change of a currently approved collection | 2013-07-15 | |
Approved without change |
Revision of a currently approved collection | 2010-08-05 | |
Approved without change |
Extension without change of a currently approved collection | 2008-01-03 | |
Approved without change |
Revision of a currently approved collection | 2005-01-10 | |
Approved without change |
Revision of a currently approved collection | 2004-12-06 | |
Comment filed on proposed rule and continue |
Revision of a currently approved collection | 2004-07-22 | |
Approved without change |
New collection (Request for a new OMB Control Number) | 2003-10-23 |