OMB control number
Rule 206(4)-1 Under the Investment Advisers Act of 1940
OMB 3235-0784 · SEC.
OMB 3235-0784
Advisers are required to include certain information in advertisements that include testimonials or endorsements, third-party ratings, or performance information. The purpose of the information collection is to better inform prospective advisory clients about the utility and limitations of information in investment adviser advertisements, and to facilitate the SEC's examination and oversight program in determining compliance with the Advisers Act.
The latest form for Rule 206(4)-1 Under the Investment Advisers Act of 1940 expires 2027-11-30 and is listed under ICR 202405-3235-012.
Latest Forms, Documents, and Supporting Material
| Document | Type |
|---|---|
 89 FR 54596 (OMB 3235-0784).pdf | Supplementary Document |
| 89 FR 72593 (OMB No. 3235-0784).pdf | Supplementary Document |
| Supporting Statement_Rule 206(4)-1.pdf | Supporting Statement A |
 Rule 206(4)-1 Under the Investment Advisers Act of 1940 |
Information collection |
All Historical Document Collections
| Reference | Filing | Received | Concluded | Action |
|---|---|---|---|---|
| 202405-3235-012 | Extension without change of a currently approved collection | 2024-09-05 | ||
| 202108-3235-016 | New collection (Request for a new OMB Control Number) | 2021-08-23 | ||
| 202102-3235-006 | New collection (Request for a new OMB Control Number) | 2021-02-19 | Comment filed on proposed rule |