Investment Company Act Rule 38a-1, 17 C.F.R 270.38a-1, Compliance procedures and practices of registered investment companies.

OMB 3235-0586

OMB 3235-0586

Rule 38a-1 requires registered investment companies and business development companies to adopt and implement compliance policies and procedures, to review those policies and procedures annually, and to maintain certain records.

The latest form for Investment Company Act Rule 38a-1, 17 C.F.R 270.38a-1, Compliance procedures and practices of registered investment companies. expires 2024-01-31 and can be found here.


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