Skip to Content


Certain Broker-Dealers Deemed Not To Be Investment Advisers

Document Details

Information about this document as published in the Federal Register.

Published Document

This document has been published in the Federal Register. Use the PDF linked in the document sidebar for the official electronic format.

Start Preamble


Securities and Exchange Commission.


Notice of OMB approval of collections of information.

Start Further Info


Robert L. Tuleya, Senior Counsel, (202) 551-6787,, Office of Investment Adviser Regulation, Division of Investment Management, U.S. Securities and Exchange Commission, 100 F Street, NE., Washington, DC 20549-0506.

End Further Info End Preamble Start Supplemental Information


In conjunction with Investment Advisers Act of 1940 rule 202(a)(11)-1,[1] the Securities and Exchange Commission submitted certain existing collections of information to the Office of Management and Budget (“OMB”) in accordance with 44 U.S.C. 3507(d) and 5 CFR 1320.11. OMB has approved changes to these collection of information requirements which are described in Certain Broker-Dealers Deemed Not To Be Investment Advisers.[2] The titles of the affected collections of information are: “Form ADV” (OMB Control No. 3235-0049); “Form ADV-NR” (OMB Control No. 3235-0240); “Form ADV-W and Rule 203-2” (OMB Control No. 3235-0313); “Rule 203-3 and Form ADV-H” (OMB Control No. 3235-0538); “Rule 204-2” (OMB Control No. 3235-0278); “Rule 204-3” (OMB Control No. 3235-0047); “Rule 204A-1” (OMB Control No. 3235-0596); “Rule 206(4)-3” (OMB Control No. 3235-0242); “Rule 206(4)-4” (OMB Control No. 3235-0345); “Rule 206(4)-6” (OMB Control No. 3235-0571); and “Rule 206(4)-7” (OMB Control No. 3235-0585).

Start Signature

Dated: August 18, 2005.

Margaret H. McFarland,

Deputy Secretary.

End Signature End Supplemental Information


2.  Investment Advisers Act Rel. No. 2376 (Apr. 12, 2005) [70 FR 20424 (Apr. 19, 2005)].

Back to Citation

[FR Doc. 05-16867 Filed 8-23-05; 8:45 am]