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View ICR - OIRA Conclusion

OMB Control No: 3235-0361	ICR Reference No: 202409-3235-022
Status: Active	Previous ICR Reference No: 202108-3235-021
Agency/Subagency: SEC	Agency Tracking No: IM-270-318
Title: Form ADV-E, cover sheet for each certificate of accounting of client securities and funds in the custody of an investment adviser
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: 01/16/2025
	Date Received in OIRA: 12/13/2024
Terms of Clearance:

	Inventory as of this Action	Requested	Previously Approved
Expiration Date	01/31/2028	36 Months From Approved	02/28/2025
Responses	1,998	0	1,776
Time Burden (Hours)	100	0	89
Cost Burden (Dollars)	0	0	0

ICR Summary of Burden

	Total Approved	Previously Approved	Change Due to Adjustment in Estimate
Annual Number of Responses	1,998	1,776	222
Annual Time Burden (Hours)	100	89	11
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 estimated total annual burden hours increased from 88.80 to 99.90. The increase is due to an increase in the total number of annual submissions from 1,776 to 1,998. This increase in submissions is primarily due to an increase in the number of SEC-registered advisers that are subject to the surprise examination requirement. As a result, more advisers were required to file Form ADV-E.

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. Yes

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. Yes

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: Alexander Haer 202 551-7504

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