OMB control number
Rule 204A-1
OMB 3235-0596 · SEC.
OMB 3235-0596
Rule 204A-1 requires SEC-registered investment advisers to adopt codes of ethics governing their supervised persons.
The latest form for Rule 204A-1 expires 2028-07-31 and can be found here.
Latest Forms, Documents, and Supporting Material
Document Name |
|---|
Supplementary Document |
Supplementary Document |
Supporting Statement A |
2025 04 08_90 FR 15184_3235-0596_30-Day Submission Notice.pdf.pdf
Rule 204A-1 under the Investment Advisers Act of 1940 -- Codes of Ethics All Historical Document Collections
| Extension without change of a currently approved collection | 2025-04-08 | ||
|
Approved without change |
Extension without change of a currently approved collection | 2022-06-06 | |
|
Approved without change |
Extension without change of a currently approved collection | 2019-09-11 | |
|
Approved without change |
Extension without change of a currently approved collection | 2016-08-18 | |
|
Approved without change |
Extension without change of a currently approved collection | 2013-07-16 | |
|
Approved without change |
Extension without change of a currently approved collection | 2010-10-01 | |
|
Approved without change |
Extension without change of a currently approved collection | 2008-01-30 | |
|
Approved without change |
Revision of a currently approved collection | 2005-01-10 | |
|
Approved without change |
Revision of a currently approved collection | 2004-12-06 | |
|
Comment filed on proposed rule and continue |
Revision of a currently approved collection | 2004-07-22 | |
|
Approved without change |
New collection (Request for a new OMB Control Number) | 2004-01-22 |