OMB control number
Rule 204-2 under the Investment Advisers Act of 1940
OMB 3235-0278 · SEC.
OMB 3235-0278
Under the amended books and records rule, registered investment advisers are required to make and keep records of the allocations, confirmations, and affirmations for securities transactions subject to the requirements of rule 15c6-2(a) under the Securities Exchange Act of 1934. The purpose of the information collection under rule 204-2 is to assist the SEC's regulatory and examination program.
The latest form for Rule 204-2 under the Investment Advisers Act of 1940 expires 2026-05-31 and can be found here.
Latest Forms, Documents, and Supporting Material
Rule 204-2, Books and Records to Be Maintained by Investment Advisers All Historical Document Collections