Compliance Programs of Investment Companies

---
identifier: "/us/fr/04-16787"
source: "fr"
legal_status: "authoritative_unofficial"
title: "Compliance Programs of Investment Companies"
title_number: 0
title_name: "Federal Register"
section_number: "04-16787"
section_name: "Compliance Programs of Investment Companies"
positive_law: false
currency: "2004-07-23"
last_updated: "2004-07-23"
format_version: "1.1.0"
generator: "[email protected]"
agency: "Securities and Exchange Commission"
document_number: "04-16787"
document_type: "notice"
publication_date: "2004-07-23"
agencies:
  - "Securities and Exchange Commission"
rin: "3235-AI77"
fr_citation: "69 FR 44070"
fr_volume: 69
docket_ids:
  - "Release Nos. IA-2265"
  - "IC-26498"
  - "File No. S7-03-03"
fr_action: "Notice of OMB approval of collections of information."
---


#  Compliance Programs of Investment Companies

**AGENCY:**

Securities and Exchange Commission.

**ACTION:**

Notice of OMB approval of collections of information.

**FOR FURTHER INFORMATION CONTACT:**

Jamey Basham, Branch Chief, Office of Investment Adviser Regulation, Division of Investment Management, (202) 942-0719, at the Securities and Exchange Commission, 450 Fifth Street, NW., Washington, DC 20549-0506.

**SUPPLEMENTARY INFORMATION:**

The Office of Management and Budget has approved the collection of information requirements contained in Compliance Programs of Investment Companies and Investment Advisers, [^1] titled “Rule 206(4)-7,” (OMB Control No. 3235-0585); “Rule 204-2,” (OMB Control No. 3235-0278); and “Rule 38a-1,” (OMB Control No. 3235-0586).

[^1] Investment Advisers Act Rel. No. 2204 (Dec. 17, 2003) (68 FR 74714 (Dec. 24, 2003)).

Dated: July 19, 2004.

Margaret H. McFarland,

Deputy Secretary.