OMB control number
Rule 206(3)-2 under the Investment Advisers Act of 1940 -- Agency Cross Transactions for Advisory Clients
OMB 3235-0243 · SEC.
OMB 3235-0243
Rule 206(3)-2 permits an investment adviser to comply with Section 206(3) of the Investment Advisers Act of 1940 by obtaining a blanket consent from a client to enter into agency cross transactions provided that certain disclosures are made by the adviser to the client.
The latest form for Rule 206(3)-2 under the Investment Advisers Act of 1940 -- Agency Cross Transactions for Advisory Clients expires 2028-01-31 and can be found here.
Latest Forms, Documents, and Supporting Material
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Supplementary Document |
Supplementary Document |
Supporting Statement A |
89 FR 94783 (OMB 3235–0243).pdf
Rule 206(3)-2 under the Investment Advisers Act of 1940 -- Agency Cross Transactions for Advisory Clients All Historical Document Collections