[Federal Register Volume 79, Number 23 (Tuesday, February 4, 2014)]
[Notices]
[Pages 6660-6661]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2014-02250]
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SECURITIES AND EXCHANGE COMMISSION
Proposed Collection; Comment Request
Upon Written Request, Copies Available From: Securities and Exchange
Commission, Office of Investor Education and Advocacy, Washington, DC
20549-0213.
Extension:
Form ADV, OMB Control No. 3235-0049, SEC File No. 270-39.
Notice is hereby given that pursuant to the Paperwork Reduction Act
of 1995 (44 U.S.C. 3501 et seq.) the Securities and Exchange Commission
(the ``Commission'') is soliciting comments on the collections of
information summarized below. The Commission plans to submit this
existing collection of information to the Office of Management and
Budget (``OMB'') for extension and approval.
The title for the collection of information is ``Form ADV'' (17 CFR
279.1). Form ADV is the investment adviser registration form and exempt
reporting adviser reporting form filed electronically with the
Commission pursuant to rules 203-1 (17 CFR 275.203-1), 204-1 (17 CFR
275.204-1) and 204-4 (17 CFR 275.204-4) under the Investment Advisers
Act of 1940 (15 U.S.C. 80b-1 et seq.) by advisers registered with the
Commission or applying for registration with the Commission or by
exempt reporting advisers filing reports with the Commission. The
information collected takes the form of disclosures to the adviser's
clients and potential clients. The purpose of this collection of
information is to provide advisory clients, prospective clients, and
the Commission with information about the adviser, its business, its
conflicts of interest and personnel. Clients use certain of the
information to determine whether to hire or retain an adviser.
The information collected provides the Commission with knowledge
about the adviser, its business, its conflicts of interest and
personnel. The Commission uses the information to determine eligibility
for registration with the Commission and to manage its regulatory,
examination, and enforcement programs.
Respondents to the collection of information are investment
advisers registered with the Commission or applying for registration
with the Commission or exempt reporting advisers filing reports with
the Commission. The Commission estimates that the total annual
reporting and recordkeeping burden of the collection of information for
each respondent is 11.42 hours.
Written comments are invited on: (a) Whether the proposed
collection of information is necessary for the proper performance of
the functions of the agency, including whether the information will
have practical utility; (b) the accuracy of the agency's estimate of
the burden of the collection of information; (c) ways to enhance the
quality, utility, and clarity of the information collected; and (d)
ways to minimize the burden of the collection of information on
respondents, including through the use of automated collection
techniques or other forms of information technology. Consideration will
be given to comments and suggestions submitted in writing within 60
days of this publication. An agency may not conduct or sponsor a
collection of information unless it displays a currently valid OMB
control number. No person shall be subject to any penalty for failing
to
[[Page 6661]]
comply with a collection of information subject to the PRA that does
not display a valid OMB control number.
Please direct your written comments to Thomas Bayer, Chief
Information Officer, Securities and Exchange Commission, C/O Remi
Pavlik-Simon, 100 F Street NE., Washington, DC 20549; or send an email
to: [email protected].
Dated: January 29, 2014.
Kevin M. O'Neill,
Deputy Secretary.
[FR Doc. 2014-02250 Filed 2-3-14; 8:45 am]
BILLING CODE 8011-01-P