OMB control number
Rule 0-4, General Requirements of Papers and Applications
OMB 3235-0633 · SEC.
Rule 0-4 under the Investment Advisers Act of 1940 (17 CFR 275.0-4) provides general instructions for filing an application seeking exemptive relief with the Securities and Exchange Commission (SEC). The purpose of Rule 0-4 is to provide SEC staff with the necessary information to assess whether granting an order of exemption is necessary or appropriate in the public interest and consistent with the protection of investors and the intended purposes of the Advisers Act. The Rule 0-4 information collection is a reporting requirement to the SEC, and the respondents are registered investment advisers, affiliated persons of registered investment advisers, and entities seeking to avoid investment adviser status, among others.
The latest form for Rule 0-4, General Requirements of Papers and Applications expires 2029-01-31 and can be found here.
Document Name |
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Supplementary Document |
Supplementary Document |
Supporting Statement A |
2025 05 29_90 FR 22786_3235-0633_30-Day Submission Notice.pdf.pdf
Rule 0-4, General Requirements of Papers and Applications | Extension without change of a currently approved collection | 2025-05-29 | ||
|
Approved with change |
Revision of a currently approved collection | 2022-07-12 | |
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Comment filed on proposed rule and continue |
Revision of a currently approved collection | 2022-01-13 | |
|
Approved without change |
Extension without change of a currently approved collection | 2020-01-06 | |
|
Approved without change |
Extension without change of a currently approved collection | 2016-11-15 | |
|
Approved without change |
Extension without change of a currently approved collection | 2013-10-23 | |
|
Approved without change |
Revision of a currently approved collection | 2010-08-10 | |
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Withdrawn and continue |
Extension without change of a currently approved collection | 2010-07-20 | |
|
Approved without change |
Existing collection in use without an OMB Control Number | 2007-10-04 |