OMB.report

Federal forms, ICRs, and supporting documents

OMB control number

Rule 204A-1

OMB 3235-0596 ยท SEC.

OMB 3235-0596

Rule 204A-1 requires SEC-registered investment advisers to adopt codes of ethics governing their supervised persons.

The latest form for Rule 204A-1 expires 2028-07-31 and is listed under ICR 202501-3235-022.

Latest Forms, Documents, and Supporting Material

Latest forms, documents, and information collections
DocumentType
2025 04 08_90 FR 15184_3235-0596_30-Day Submission Notice.pdf.pdfSupplementary Document
2025 04 08_90 FR 15184_3235-0596_30-Day Submission Notice.pdf.pdf Supplementary Document
2025 01 30_90 FR 8552_3235-0596_60-Day Collection Notice.pdfSupplementary Document
Supporting Statement.pdfSupporting Statement A
Supporting Statement.pdfSupporting Statement A
Rule 204A-1 under the Investment Advisers Act of 1940 -- Codes of Ethics Information collection

All Historical Document Collections

Historical document collections
ReferenceFilingReceivedConcludedAction
202501-3235-022 Extension without change of a currently approved collection 2025-04-08
202201-3235-008 Extension without change of a currently approved collection 2022-06-06 Approved without change
201906-3235-001 Extension without change of a currently approved collection 2019-09-11 Approved without change
201602-3235-005 Extension without change of a currently approved collection 2016-08-18 Approved without change
201307-3235-007 Extension without change of a currently approved collection 2013-07-16 Approved without change
201007-3235-027 Extension without change of a currently approved collection 2010-10-01 Approved without change
200708-3235-028 Extension without change of a currently approved collection 2008-01-30 Approved without change
200501-3235-009 Revision of a currently approved collection 2005-01-10 Approved without change
200412-3235-025 Revision of a currently approved collection 2004-12-06 Approved without change
200407-3235-025 Revision of a currently approved collection 2004-07-22 Comment filed on proposed rule and continue
200401-3235-010 New collection (Request for a new OMB Control Number) 2004-01-22 Approved without change