Rule 206(4)-3 under the Investment Advisers Act of 1940 (17 CFR 275.206(4)-3)

OMB 3235-0242

Rule 206(4)-3 imposes restrictions on cash payments for client solicitations and imposes certain disclosure requirements. The information is necessary to inform advisory clients about the nature of a solicitor's financial interest in a recommendation so clients may consider the solicitor's potential bias prior to engaging the adviser.

The latest form for Rule 206(4)-3 under the Investment Advisers Act of 1940 (17 CFR 275.206(4)-3) expires 2022-02-28 and can be found here.

Latest Forms, Documents, and Supporting Material

Document Name
3235-0242 60 Day Notice 2021-27498.pdf Supplementary Document
3235-0242.pdf Supplementary Document
Rule 206(4)-3 (2022) Supporting Statement.pdf Supporting Statement A
Rule 206(4)-3

All Historical Document Collections

202112-3235-007 Approved without change	Extension without change of a currently approved collection	2022-01-20
202010-3235-008 Comment filed on proposed rule and continue	Revision of a currently approved collection	2020-10-23
201805-3235-010 Approved without change	Extension without change of a currently approved collection	2018-12-20
201505-3235-002 Approved without change	Extension without change of a currently approved collection	2015-11-04
201208-3235-007 Approved without change	Extension without change of a currently approved collection	2012-10-02
201008-3235-005 Approved without change	No material or nonsubstantive change to a currently approved collection	2010-08-04
201008-3235-002 Approved without change	Revision of a currently approved collection	2010-08-03
200908-3235-001 Preapproved	Revision of a currently approved collection	2009-08-18
200708-3235-020 Approved without change	Extension without change of a currently approved collection	2008-01-02
200501-3235-005 Approved without change	Revision of a currently approved collection	2005-01-10
200412-3235-029 Approved without change	Revision of a currently approved collection	2004-12-06
200407-3235-022 Comment filed on proposed rule and continue	Revision of a currently approved collection	2004-07-22
200307-3235-015 Approved without change	Extension without change of a currently approved collection	2003-07-23
200008-3235-001 Approved without change	Extension without change of a currently approved collection	2000-08-01
199707-3235-008 Approved without change	Extension without change of a currently approved collection	1997-07-30
199406-3235-011 Approved without change	Revision of a currently approved collection	1994-06-22
199106-3235-017 Approved without change	Revision of a currently approved collection	1991-06-25
198809-3235-001 Approved without change	Revision of a currently approved collection	1988-09-20
198601-3235-004 Approved without change	Extension without change of a currently approved collection	1986-01-17
198212-3235-010 Approved without change	Extension without change of a currently approved collection	1982-12-03
198111-3235-037 Approved without change	New collection (Request for a new OMB Control Number)	1981-11-03