Document ID: SEC-2014-0603-0001
Agency: sec
Document Type: Notice
Title: Agency Information Collection Activities; Proposals, Submissions, and Approvals
Posted Date: 2014-04-11T04:00Z

[Federal Register Volume 79, Number 70 (Friday, April 11, 2014)]
[Notices]
[Pages 20252-20253]
From the Federal Register Online via the Government Printing Office [www.gpo.gov]
[FR Doc No: 2014-08004]

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SECURITIES AND EXCHANGE COMMISSION

[OMB Control No. 3235-0049, SEC File No. 270-39]

Submission for OMB Review; Comment Request

Upon Written Request, Copies Available From: Securities and Exchange 
Commission, Office of Investor Education and Advocacy, Washington, DC 
20549-0213.

Extension:
    Form ADV.

    Notice is hereby given that pursuant to the Paperwork Reduction Act 
of 1995 (44 U.S.C. 3501 et seq.) the Securities and Exchange Commission 
(``Commission'') has submitted to the Office of Management and Budget 
(``OMB'') a request for extension of the previously approved collection 
of information discussed below.
    The title for the collection of information is ``Form ADV'' (17 CFR 
279.1). Form ADV is the investment adviser registration form and exempt 
reporting adviser reporting form filed electronically with the 
Commission pursuant to rules 203-1 (17 CFR 275.203-1), 204-1 (17 CFR 
275.204-1) and 204-4 (17 CFR 275.204-4) under the Investment Advisers 
Act of 1940 (15 U.S.C. 80b-1 et seq.) by advisers registered with the 
Commission or applying for registration with the Commission or by 
exempt reporting advisers filing reports with the Commission. The 
information collected takes the form of disclosures to the adviser's 
clients and potential clients. The purpose of this collection of 
information is to provide advisory clients, prospective clients, and 
the Commission with information about the adviser, its business, its 
conflicts of interest and personnel. Clients use certain of the 
information to determine whether to hire or retain an adviser.
    The information collected provides the Commission with knowledge 
about the adviser, its business, its conflicts of interest and 
personnel. The Commission uses the information to determine eligibility 
for registration with the Commission and to manage its regulatory, 
examination, and enforcement programs.
    Respondents to the collection of information are investment 
advisers registered with the Commission or applying for registration 
with the Commission or exempt reporting advisers filing reports with 
the Commission. The Commission estimates that the total annual 
reporting and recordkeeping burden of the collection of information for 
each respondent is 11.42 hours.
    This collection of information is found at 17 CFR 279.1 and it is 
mandatory.
    The information collected pursuant to Form ADV are filings with the 
Commission. These disclosures are not kept confidential and must be 
preserved until at least three years after termination of the 
enterprise.
    An agency may not conduct or sponsor, and a person is not required 
to respond to a collection of information

[[Page 20253]]

unless it displays a currently valid OMB control number.
    The public may view the background documentation for this 
information collection at the following Web site, www.reginfo.gov. 
Comments should be directed to: (i) Desk Officer for the Securities and 
Exchange Commission, Office of Information and Regulatory Affairs, 
Office of Management and Budget, Room 10102, New Executive Office 
Building, Washington, DC 20503, or by sending an email to: Shagufta_Ahmed@omb.eop.gov; and (ii) Thomas Bayer, Chief Information Officer, 
Securities and Exchange Commission, c[sol]o Remi Pavlik-Simon, 100 F 
Street NE., Washington, DC 20549 or send an email to: PRA_Mailbox@sec.gov. Comments must be submitted to OMB within 30 days of 
this notice.

    Dated: April 4, 2014.
Kevin M. O'Neill,
Deputy Secretary.
[FR Doc. 2014-08004 Filed 4-10-14; 8:45 am]
BILLING CODE 8011-01-P