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View ICR - OIRA Conclusion

OMB Control No: 3235-0571	ICR Reference No: 202002-3235-018
Status: Historical Active	Previous ICR Reference No: 201612-3235-004
Agency/Subagency: SEC	Agency Tracking No: IM-270-513
Title: Rule 206(4)-6 Under the Investment Advisers Act of 1940 (17 CFR 275.206(4)-6)
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: 08/27/2020
	Date Received in OIRA: 07/10/2020
Terms of Clearance:

	Inventory as of this Action	Requested	Previously Approved
Expiration Date	08/31/2023	36 Months From Approved	08/31/2020
Responses	3,421,935	0	1,531,880
Time Burden (Hours)	464,844	0	261,513
Cost Burden (Dollars)	0	0	0

ICR Summary of Burden

	Total Approved	Previously Approved	Change Due to Adjustment in Estimate
Annual Number of Responses	3,421,935	1,531,880	1,890,055
Annual Time Burden (Hours)	464,844	261,513	203,331
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: We have increased the estimated hour burden from 261,513 hours to 464,844 hours based on new information with respect to the number of registered investment advisers that provide discretionary asset management services and to the estimated average number of clients per SEC-registered investment adviser. This new information is based on data derived from information submitted by advisers on Form ADVs filed through the IARD. The number of hours per response has not changed since the last estimate. The increase in hour burden is entirely due to an increase in the number of respondents.

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? No

Agency Contact: Lawrence Pace 202 551-4599

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