Rule 0-4 under the Investment Advisers Act of 1940, General Requirements of Papers and Applications

OMB 3235-0633

OMB 3235-0633

Rule 0-4 requires that every application for an Order for which a form is not specifically prescribed and which is executed by a corporation, partnership or other company and filed with the Commission contain a statement of the applicable provisions of the articles of incorporation, bylaws or similar documents, relating to the right of the person signing and filing such application to take such action on behalf of the applicant, and a statement that all such requirements have been complied with and that the person signing and filing the application is fully authorized to act.

The latest form for Rule 0-4 under the Investment Advisers Act of 1940, General Requirements of Papers and Applications expires 2023-03-31 and can be found here.


© 2021 OMB.report | Privacy Policy