OMB control number
Rule 206(4)-1 Under the Investment Advisers Act of 1940
OMB 3235-0784 · SEC.
OMB 3235-0784
Advisers are required to include certain information in advertisements that include testimonials or endorsements, third-party ratings, or performance information. The purpose of the information collection is to better inform prospective advisory clients about the utility and limitations of information in investment adviser advertisements, and to facilitate the SEC's examination and oversight program in determining compliance with the Advisers Act.
The latest form for Rule 206(4)-1 Under the Investment Advisers Act of 1940 expires 2027-11-30 and can be found here.
Latest Forms, Documents, and Supporting Material
Document Name |
|---|
Supplementary Document |
Supplementary Document |
Supporting Statement A |
89 FR 54596 (OMB 3235-0784).pdf
Rule 206(4)-1 Under the Investment Advisers Act of 1940 All Historical Document Collections
| Extension without change of a currently approved collection | 2024-09-05 | ||
| New collection (Request for a new OMB Control Number) | 2021-08-23 | ||
|
Comment filed on proposed rule |
New collection (Request for a new OMB Control Number) | 2021-02-19 |