Rule 0-4, General Requirements of Papers and Applications

Forms and Documents

Document Name	Status
2025 05 29_90 FR 22786_3235-0633_30-Day Submission Notice.pdf.pdf Supplementary Document	2025-05-29
2025 03 19_90 FR 12838_3235-0633_60-Day Collection Notice.pdf Supplementary Document	2025-05-15
Supporting Statement_Rule 0-4.pdf Supporting Statement A	2025-03-21

IC Document Collections

IC ID	Document Title	Status
181260	Rule 0-4, General Requirements of Papers and Applications	Modified

ICR Details

OMB Control No: 3235-0633	ICR Reference No: 202501-3235-021
Status: Received in OIRA	Previous ICR Reference No: 202207-3235-001
Agency/Subagency: SEC	Agency Tracking No: IM
Title: Rule 0-4, General Requirements of Papers and Applications
Type of Information Collection: Extension without change of a currently approved collection	Common Form ICR:  No
Type of Review Request: Regular	Date Submitted to OIRA: 05/29/2025

	Requested	Previously Approved
Expiration Date	36 Months From Approved	08/31/2025
Responses	7	7
Time Burden (Hours)	1	1
Cost Burden (Dollars)	440,387	405,210

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Abstract: Rule 0-4 under the Investment Advisers Act of 1940 (17 CFR 275.0-4) provides general instructions for filing an application seeking exemptive relief with the Securities and Exchange Commission (SEC). The purpose of Rule 0-4 is to provide SEC staff with the necessary information to assess whether granting an order of exemption is necessary or appropriate in the public interest and consistent with the protection of investors and the intended purposes of the Advisers Act. The Rule 0-4 information collection is a reporting requirement to the SEC, and the respondents are registered investment advisers, affiliated persons of registered investment advisers, and entities seeking to avoid investment adviser status, among others.

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Authorizing Statute(s): US Code: 15 USC 80b Name of Law: Investment Advisers Act of 1940
  

Citations for New Statutory Requirements: None

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Associated Rulemaking Information
RIN:	Stage of Rulemaking:	Federal Register Citation:	Date:
	Not associated with rulemaking

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Federal Register Notices & Comments
60-day Notice:	Federal Register Citation:	Citation Date:
	90 FR 12838	03/19/2025
30-day Notice:	Federal Register Citation:	Citation Date:
	90 FR 22787	05/29/2025
Did the Agency receive public comments on this ICR? No

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Number of Information Collection (IC) in this ICR: 1

IC Title	Form No.	Form Name
Rule 0-4, General Requirements of Papers and Applications

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ICR Summary of Burden

	Total Request	Previously Approved	Change Due to New Statute	Change Due to Agency Discretion	Change Due to Adjustment in Estimate	Change Due to Potential Violation of the PRA
Annual Number of Responses	7	7	0	0	0	0
Annual Time Burden (Hours)	1	1	0	0	0	0
Annual Cost Burden (Dollars)	440,387	405,210	0	0	35,177	0

Burden increases because of Program Change due to Agency Discretion: No

Burden Increase Due to:

Burden decreases because of Program Change due to Agency Discretion: No

Burden Reduction Due to:

Short Statement:

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Annual Cost to Federal Government:

Does this IC contain surveys, censuses, or employ statistical methods? No

Does this ICR request any personally identifiable information (see OMB Circular No. A-130 for an explanation of this term)? Please consult with your agency's privacy program when making this determination.     No

Does this ICR include a form that requires a Privacy Act Statement (see 5 U.S.C. §552a(e)(3))? Please consult with your agency's privacy program when making this determination.     No

Is this ICR related to the Affordable Care Act [Pub. L. 111-148 & 111-152]? No

Is this ICR related to the Dodd-Frank Wall Street Reform and Consumer Protection Act, [Pub. L. 111-203]? No

Is this ICR related to the American Recovery and Reinvestment Act of 2009 (ARRA)? No

Is this ICR related to the Pandemic Response? No

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Common Form ICR:  No

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On behalf of this Federal agency, I certify that the collection of information encompassed by this request complies with 5 CFR 1320.9 and the related provisions of 5 CFR 1320.8(b)(3).

The following is a summary of the topics, regarding the proposed collection of information, that the certification covers:

(a) It is necessary for the proper performance of agency functions;

(b) It avoids unnecessary duplication;

(c) It reduces burden on small entities;

(d) It uses plain, coherent, and unambiguous language that is understandable to respondents;

(e) Its implementation will be consistent and compatible with current reporting and recordkeeping practices;

(f) It indicates the retention periods for recordkeeping requirements;

(g) It informs respondents of the information called for under 5 CFR 1320.8 (b)(3) about:

(i) Why the information is being collected;

(ii) Use of information;

(iii) Burden estimate;

(iv) Nature of response (voluntary, required for a benefit, or mandatory);

(v) Nature and extent of confidentiality; and

(vi) Need to display currently valid OMB control number;

(h) It was developed by an office that has planned and allocated resources for the efficient and effective management and use of the information to be collected.

(i) It uses effective and efficient statistical survey methodology (if applicable); and

(j) It makes appropriate use of information technology.

If you are unable to certify compliance with any of these provisions, identify the item by leaving the box unchecked and explain the reason in the Supporting Statement.

Certification Date: 05/29/2025

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