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View ICR - OIRA Conclusion

OMB Control No: 3235-0459	ICR Reference No: 201902-3235-017
Status: Historical Active	Previous ICR Reference No: 201510-3235-003
Agency/Subagency: SEC	Agency Tracking No: IM-270-401
Title: Rule 3a-4 (17 CFR 270.3a-4) under the Investment Company Act of 1940, "Status of Investment Advisory Programs."
Type of Information Collection: Extension without change of a currently approved collection	Common Form ICR: No
Type of Review Request: Regular
OIRA Conclusion Action: Approved without change	Conclusion Date: 06/25/2019
	Date Received in OIRA: 03/28/2019
Terms of Clearance:

	Inventory as of this Action	Requested	Previously Approved
Expiration Date	06/30/2022	36 Months From Approved	06/30/2019
Responses	98,093,655	0	66,153,320
Time Burden (Hours)	41,003,148	0	35,534,594
Cost Burden (Dollars)	0	0	0

ICR Summary of Burden

	Total Approved	Previously Approved	Change Due to Adjustment in Estimate
Annual Number of Responses	98,093,655	66,153,320	31,940,335
Annual Time Burden (Hours)	41,003,148	35,534,594	5,468,554
Annual Cost Burden (Dollars)	0	0	0

Burden increases because of Program Change due to Agency Discretion: No

Burden Increase Due to:

Burden decreases because of Program Change due to Agency Discretion: No

Burden Reduction Due to:

Short Statement: The total annual hour burden of 41,003,148 hours represents an increase of 5,468,554 hours from the prior estimate of 35,534,594 hours. This increase is a result of the increase in the estimated number of clients, which was due to a change in the way the staff has made its estimates as a result of recent changes in Form ADV that provide more detailed information about this issue.

Annual Cost to Federal Government: $0

Does this IC contain surveys, censuses, or employ statistical methods? No

Does this ICR request any personally identifiable information (see OMB Circular No. A-130 for an explanation of this term)? Please consult with your agency's privacy program when making this determination. No

Does this ICR include a form that requires a Privacy Act Statement (see 5 U.S.C. §552a(e)(3))? Please consult with your agency's privacy program when making this determination. No

Is this ICR related to the Affordable Care Act [Pub. L. 111-148 & 111-152]? No

Is this ICR related to the Dodd-Frank Wall Street Reform and Consumer Protection Act, [Pub. L. 111-203]? No

Is this ICR related to the American Recovery and Reinvestment Act of 2009 (ARRA)? No

Is this ICR related to the Pandemic Response? Uncollected

Agency Contact: Daniel Chang 2025516792 changd@sec.gov

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