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View ICR - OIRA Conclusion

OMB Control No: 3235-0242	ICR Reference No: 202112-3235-007
Status: Historical Active	Previous ICR Reference No: 201805-3235-010
Agency/Subagency: SEC	Agency Tracking No: IM-270-218
Title: Rule 206(4)-3 under the Investment Advisers Act of 1940 (17 CFR 275.206(4)-3)
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: 02/22/2022
	Date Received in OIRA: 01/20/2022
Terms of Clearance: To prevent ICR expiration while the underlying rule 206(4)-3 is still in effect, the ICR extension is to November 2022 (The Commission rescinded rule 206(4)–3, effective November 2, 2022).

	Inventory as of this Action	Requested	Previously Approved
Expiration Date	11/30/2022	36 Months From Approved	02/28/2022
Responses	42,119	0	48,345
Time Burden (Hours)	26,596	0	30,941
Cost Burden (Dollars)	0	0	0

ICR Summary of Burden

	Total Approved	Previously Approved	Change Due to Adjustment in Estimate
Annual Number of Responses	42,119	48,345	-6,226
Annual Time Burden (Hours)	26,596	30,941	-4,345
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 decrease of 6,226 responses and 4,345 hours are due to a decrease in the number of registered investment advisers using rule 206(4)-3.

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: Juliet Han 202 551-5213

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