Rule 206(4)-6 would require investment advisers to adopt and implement written policies and procedures reasonably designed to ensure the adviser votes client proxies in the best interests of clients, and disclosure these policies and procedures to clients, as well as information how clients can obtain information from the adviser about how the adviser voted the client's securities.
US Code:
15 USC 80b
Name of Law: Investment Advisers Act of 1940
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.
Rule 206(4)-6 Support.doc
Rule 206(4)-6 Under the Investment Advisers Act of 1940 (17 CFR 275.206(4)-6)