OMB control number
Investment Advisers Act rule 206(4)-7, 17 C.F.R. Sec. 275.206(4)- 7, Compliance procedures and practices.
OMB 3235-0585 · SEC.
OMB 3235-0585
Rule 206(4)-7 requires investment advisers registered with the Commission to adopt and implement compliance policies and procedures, to review those policies and procedures annually, and to designate a chief compliance officer.
The latest form for Investment Advisers Act rule 206(4)-7, 17 C.F.R. Sec. 275.206(4)- 7, Compliance procedures and practices. expires 2027-12-31 and can be found here.
Latest Forms, Documents, and Supporting Material
Document Name |
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Supplementary Document |
Supplementary Document |
Supporting Statement A |
89 FR 81612 (OMB 3235–0585).pdf
Rule 206(4)-7 under the Investment Advisers Act of 1940 - Compliance Procedures and Practices All Historical Document Collections