Certain Broker-Dealers Deemed Not To Be Investment Advisers

---
identifier: "/us/fr/05-16867"
source: "fr"
legal_status: "authoritative_unofficial"
title: "Certain Broker-Dealers Deemed Not To Be Investment Advisers"
title_number: 0
title_name: "Federal Register"
section_number: "05-16867"
section_name: "Certain Broker-Dealers Deemed Not To Be Investment Advisers"
positive_law: false
currency: "2005-08-24"
last_updated: "2005-08-24"
format_version: "1.1.0"
generator: "[email protected]"
agency: "Securities and Exchange Commission"
document_number: "05-16867"
document_type: "notice"
publication_date: "2005-08-24"
agencies:
  - "Securities and Exchange Commission"
rin: "3235-AH78"
fr_citation: "70 FR 49687"
fr_volume: 70
docket_ids:
  - "Release Nos. 34-52293"
  - "IA-2417"
  - "File No. S7-25-99"
fr_action: "Notice of OMB approval of collections of information."
---


#  Certain Broker-Dealers Deemed Not To Be Investment Advisers

**AGENCY:**

Securities and Exchange Commission.

**ACTION:**

Notice of OMB approval of collections of information.

**FOR FURTHER INFORMATION CONTACT:**

Robert L. Tuleya, Senior Counsel, (202) 551-6787, *[email protected],* Office of Investment Adviser Regulation, Division of Investment Management, U.S. Securities and Exchange Commission, 100 F Street, NE., Washington, DC 20549-0506.

**SUPPLEMENTARY INFORMATION:**

In conjunction with Investment Advisers Act of 1940 rule 202(a)(11)-1, [^1] the Securities and Exchange Commission submitted certain existing collections of information to the Office of Management and Budget (“OMB”) in accordance with 44 U.S.C. 3507(d) and 5 CFR 1320.11. OMB has approved changes to these collection of information requirements which are described in *Certain Broker-Dealers Deemed Not To Be Investment Advisers.*[^2] The titles of the affected collections of information are: “Form ADV” (OMB Control No. 3235-0049); “Form ADV-NR” (OMB Control No. 3235-0240); “Form ADV-W and Rule 203-2” (OMB Control No. 3235-0313); “Rule 203-3 and Form ADV-H” (OMB Control No. 3235-0538); “Rule 204-2” (OMB Control No. 3235-0278); “Rule 204-3” (OMB Control No. 3235-0047); “Rule 204A-1” (OMB Control No. 3235-0596); “Rule 206(4)-3” (OMB Control No. 3235-0242); “Rule 206(4)-4” (OMB Control No. 3235-0345); “Rule 206(4)-6” (OMB Control No. 3235-0571); and “Rule 206(4)-7” (OMB Control No. 3235-0585).

[^1] 17 CFR 275.202(a)(11)-1.

[^2] Investment Advisers Act Rel. No. 2376 (Apr. 12, 2005) [70 FR 20424 (Apr. 19, 2005)].

Dated: August 18, 2005.

Margaret H. McFarland,

Deputy Secretary.