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View ICR - OIRA Conclusion

OMB Control No: 3235-0596	ICR Reference No: 202201-3235-008
Status: Historical Active	Previous ICR Reference No: 201906-3235-001
Agency/Subagency: SEC	Agency Tracking No: IM-270-536
Title: Rule 204A-1
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: 08/01/2022
	Date Received in OIRA: 06/06/2022
Terms of Clearance:

	Inventory as of this Action	Requested	Previously Approved
Expiration Date	08/31/2025	36 Months From Approved	10/31/2022
Responses	3,382,150	0	3,108,828
Time Burden (Hours)	1,275,659	0	1,194,133
Cost Burden (Dollars)	0	0	0

ICR Summary of Burden

	Total Approved	Previously Approved	Change Due to Adjustment in Estimate
Annual Number of Responses	3,382,150	3,108,828	273,322
Annual Time Burden (Hours)	1,275,659	1,194,133	81,526
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 revised the estimated burden based on new information on the number of SEC-registered investment advisers, and the average number of non-clerical employees per adviser, that we obtained from Form ADVs filed through the IARD. The number of responses per investment adviser has decreased slightly, as there was a slight decrease in the average number of an adviser’s non-clerical employees that we assume that advisers will treat as access persons, but the number of hours per response have not changed since the last estimate. The increase in hour burden is due to an increase in the estimated number of respondents, overall (there was an increase in the number of registered investment advisers, and a slight decrease in the average number of an adviser’s non-clerical employees).

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: Emily Rowland 202 551-8645

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