Rule 223-1 under the Investment Advisers Act of 1940

OMB 3235-0241

Rule 206(4)-2 under the Investment Advisers Act of 1940 requires advisers to protect the assets that their advisory clients have entrusted to their custody.

The latest form for Rule 223-1 under the Investment Advisers Act of 1940 expires 2022-08-31 and can be found here.

Latest Forms, Documents, and Supporting Material

Document Name
Supporting Statement_Rule 223-1_(2023).pdf Supporting Statement A
Rule 206(4)-2 under the Investment Advisers Act of 1940--Custody of Funds or Securities of Clients by Investment Advisers

All Historical Document Collections

202305-3235-021 Comment filed on proposed rule and continue	Revision of a currently approved collection	2023-05-26
202205-3235-017 Approved without change	Extension without change of a currently approved collection	2022-08-05
201812-3235-010 Approved with change	Extension without change of a currently approved collection	2019-04-16
201510-3235-020 Approved without change	Extension without change of a currently approved collection	2016-02-03
201211-3235-015 Approved with change	Extension without change of a currently approved collection	2012-11-21
201001-3235-004 Approved without change	Revision of a currently approved collection	2010-01-13
200906-3235-002 Preapproved	Revision of a currently approved collection	2009-06-02
200703-3235-004 Approved without change	Extension without change of a currently approved collection	2007-09-06
200412-3235-026 Approved without change	Revision of a currently approved collection	2004-12-06
200407-3235-028 Comment filed on proposed rule and continue	Revision of a currently approved collection	2004-07-22
200207-3235-014 Approved without change	Revision of a currently approved collection	2002-07-24
200010-3235-003 Approved without change	Extension without change of a currently approved collection	2000-10-06
199709-3235-008 Approved without change	Extension without change of a currently approved collection	1997-09-23
199410-3235-007 Approved without change	Revision of a currently approved collection	1994-10-06
199110-3235-015 Approved without change	Revision of a currently approved collection	1991-10-31
198811-3235-005 Approved without change	Revision of a currently approved collection	1988-11-23
198601-3235-011 Approved without change	Extension without change of a currently approved collection	1986-01-24
198212-3235-006 Approved without change	Reinstatement with change of a previously approved collection	1982-12-03
198111-3235-036 Approved without change	New collection (Request for a new OMB Control Number)	1981-11-03