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Federal forms, ICRs, and supporting documents

Information Collection Request

Employee Retirement Income Security Act of 1974 Investment Manager Electronic Registration

ICR 202505-1210-001 · OMB 1210-0125 · Active

Forms and Documents
DocumentTypeStatusAvailability
1210-0125 ERISA Investment Manager Electronic Registration 7-01-2025.docx Supporting Statement A Uploaded 2025-07-01 Available
1210-0125 ERISA Investment Manager Electronic Registration 7-01-2025.docx Supporting Statement A Uploaded 2025-07-01 Repair queued
IC Document Collections
IC IDCollectionTypeStatusForm
13506 ERISA Investment Manager Electronic Registration Modified
ICR Details
1210-0125 202505-1210-001
Active 202206-1210-006
DOL/EBSA
Employee Retirement Income Security Act of 1974 Investment Manager Electronic Registration
Extension without change of a currently approved collection   No
Regular
Approved without change 08/18/2025
Retrieve Notice of Action (NOA) 07/16/2025
  Inventory as of this Action Requested Previously Approved
08/31/2028 36 Months From Approved 08/31/2025
3 0 3
3 0 3
230 0 230
Section 203A(a) of the Investment Advisers Act of 1940 (and the implementing SEC regulations) provides thresholds for when investment advisers must register with the SEC or with one or more states To qualify as investment manager under ERISA, investment advisers that register with a state, rather than with the SEC, must satisfy ERISA's section 3(38) requirement to file a copy of the State registration with the Department by electronically registering through the Investment Adviser Registration Depository (IARD). This is a centralized electronic filing system operated by the SEC in conjunction with State securities regulation authorities. Because the IARD was established by the SEC and the states, and made mandatory for advisers required to file with SEC, and because all States permit filing through IARD even for advisers who do not file with SEC, the Department determined that use of the IARD would eliminate the duplication of filing paper copies of State registration forms with the Department and facilitate creation of a uniform and efficient “one-stop” filing system for state-registered filings by advisers who wished to meet the “investment manager” definition of ERISA section 3(38).
US Code: 29 USC 1003(38)(B) Name of Law: Employee Retirement Income Security Act of 1974
  
None
Not associated with rulemaking
  90 FR 671 01/06/2025
90 FR 32028 07/16/2025
No
1
IC Title Form No. Form Name
ERISA Investment Manager Electronic Registration
  Total Approved Previously Approved Change Due to New Statute Change Due to Agency Discretion Change Due to Adjustment in Estimate Change Due to Potential Violation of the PRA
Annual Number of Responses 3 3 0 0 0 0
Annual Time Burden (Hours) 3 3 0 0 0 0
Annual Cost Burden (Dollars) 230 230 0 0 0 0
No
No
$0
No
    No
    No
No
No
No
No
James Butikofer 202 693-8434 [email protected]
  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.
07/16/2025