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Federal forms, ICRs, and supporting documents

OMB control number

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

OMB 3235-0586 · SEC.

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 2027-08-31 and is listed under ICR 202404-3235-003.

Latest Forms, Documents, and Supporting Material

Latest forms, documents, and information collections
DocumentType
3235-0586.pdf Supplementary Document
3235-0586.pdf Supplementary Document
Supporting Statement_Rule 38a-1.pdfSupporting Statement A
Investment Company Act rule 38a-1, 17 C.F.R. Sec. 270.38a-1, Compliance procedures and practices of registered investment companies. Information collection

All Historical Document Collections

Historical document collections
ReferenceFilingReceivedConcludedAction
202404-3235-003 Extension without change of a currently approved collection 2024-07-15
202106-3235-002 Revision of a currently approved collection 2021-06-09 Approved without change
202101-3235-013 Revision of a currently approved collection 2021-01-19 Comment filed on proposed rule and continue
202008-3235-014 Extension without change of a currently approved collection 2020-11-17
201706-3235-003 Extension without change of a currently approved collection 2017-12-29 Approved without change
201407-3235-003 Revision of a currently approved collection 2014-07-07 Approved without change
201401-3235-011 Revision of a currently approved collection 2014-01-21 Comment filed on proposed rule and continue
201401-3235-004 Revision of a currently approved collection 2014-01-27 Approved without change
201211-3235-031 Extension without change of a currently approved collection 2013-01-07 Approved without change
201103-3235-024 Revision of a currently approved collection 2011-03-18 Comment filed on proposed rule and continue
201002-3235-028 Revision of a currently approved collection 2010-03-04 Approved without change
200906-3235-005 Extension without change of a currently approved collection 2009-10-21 Approved without change
200807-3235-014 Revision of a currently approved collection 2008-07-14 Preapproved
200609-3235-011 Extension without change of a currently approved collection 2006-10-26 Approved without change
200310-3235-017 New collection (Request for a new OMB Control Number) 2003-10-23 Approved without change