OMB.report

Federal forms, ICRs, and supporting documents

Information Collection Request

Rule 204-3 [17 CFR 275.204-3] under the Investment Advisers Act of 1940

ICR 200407-3235-021 · OMB 3235-0047 · Historical Inactive

Forms and Documents
DocumentTypeStatusAvailability
No forms / supporting documents in this ICR. Check IC Document Collections.
IC Document Collections
IC IDCollectionTypeStatusForm
34122 Rule 204-3 [17 CFR 275.204-3] under the Investment Advisers Act of 1940 Migrated
ICR Details
3235-0047 200407-3235-021
Historical Inactive 200304-3235-004
SEC
Rule 204-3 [17 CFR 275.204-3] under the Investment Advisers Act of 1940
Revision of a currently approved collection   No
Regular
Comment filed on proposed rule and continue 10/18/2004
Retrieve Notice of Action (NOA) 07/22/2004
This ICR is associated with proposed release IA-2266. The agency must resubmit this ICR at the time of final rulemaking. The resubmission must include responses to relevant comments received in response to the notice of proposed rulemaking.
  Inventory as of this Action Requested Previously Approved
06/30/2006 10/31/2007 06/30/2006
15,678,000 0 15,678,000
5,412,643 0 0
0 0 0
The rule requires investment advisers to deliver to their clients a written disclosure statement, of "brochure," of specified information concerning the background and business practices of the investment adviser. The rule also requires an adviser to update information based on material events. Investors use the information to determine whether to retain or continue to employ the investment adviser.
None
None
No
1
IC Title Form No. Form Name
Rule 204-3 [17 CFR 275.204-3] under the Investment Advisers Act of 1940
No
No
$0
No
No
Uncollected
Uncollected
Uncollected
Uncollected
  No
On behalf of this Federal agency, I certify that the collection of information encompassed by this request complies with 5 CFR 1320.9 and the related provisions of 5 CFR 1320.8(b)(3).
The following is a summary of the topics, regarding the proposed collection of information, that the certification covers:
 
 
 
 
 
 
 
    (i) Why the information is being collected;
    (ii) Use of information;
    (iii) Burden estimate;
    (iv) Nature of response (voluntary, required for a benefit, or mandatory);
    (v) Nature and extent of confidentiality; and
    (vi) Need to display currently valid OMB control number;
 
 
 
If you are unable to certify compliance with any of these provisions, identify the item by leaving the box unchecked and explain the reason in the Supporting Statement.
07/22/2004