OMB control number
Exemption for Certain Multi-State Investment Advisers (Rule 203A-2(d))
OMB 3235-0689 · SEC.
OMB 3235-0689
Rule 203A-2(d) under the Investment Advisers Act of 1940 permits all investment advisers required to register as advisers with 15 or more states to register with the Commission, and requires any adviser relying on the rule to maintain in an easily accessible place a record of the states in which the investment adviser has determined it would be required to register for a period of not less that five years from the filing of a Form ADV relying on the rule.
The latest form for Exemption for Certain Multi-State Investment Advisers (Rule 203A-2(d)) expires 2026-08-31 and can be found here.
Latest Forms, Documents, and Supporting Material
Document Name |
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Supplementary Document |
Supplementary Document |
Supporting Statement A |
3235-0689.pdf
Exemption for Certain Multi-State Investment Advisers (Rule 203A-2(d)) All Historical Document Collections
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Approved without change |
Extension without change of a currently approved collection | 2023-06-06 | |
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Approved without change |
Extension without change of a currently approved collection | 2020-07-21 | |
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Approved without change |
Extension without change of a currently approved collection | 2017-05-19 | |
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Approved without change |
Extension without change of a currently approved collection | 2014-04-23 | |
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Approved without change |
New collection (Request for a new OMB Control Number) | 2011-07-19 | |
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Comment filed on proposed rule |
Existing collection in use without an OMB Control Number | 2010-12-14 |