Rule 206(3)-2 under the Investment Advisers Act of 1940 -- Agency Cross Transactions for Advisory Clients

OMB 3235-0243

OMB 3235-0243

Rule 206(3)-2 permits an investment adviser to comply with Section 206(3) of the Investment Advisers Act of 1940 by obtaining a blanket consent from a client to enter into agency cross transactions provided that certain disclosures are made by the adviser to the client.

The latest form for Rule 206(3)-2 under the Investment Advisers Act of 1940 -- Agency Cross Transactions for Advisory Clients expires 2022-02-28 and can be found here.

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