Investment Company Act Rule 38a-1, 17 C.F.R 270.38a-1, Compliance procedures and practices of registered investment companies.

OMB 3235-0586

Rule 38a-1 requires registered investment companies and business development companies to adopt and implement compliance policies and procedures, to review those policies and procedures annually, and to maintain certain records.

The latest form for Investment Company Act Rule 38a-1, 17 C.F.R 270.38a-1, Compliance procedures and practices of registered investment companies. expires 2024-01-31 and can be found here.

Latest Forms, Documents, and Supporting Material

Document Name
3235-0586.pdf Supplementary Document
3235-0586.pdf Supplementary Document
Supporting Statement_Rule 38a-1.pdf Supporting Statement A
Investment Company Act rule 38a-1, 17 C.F.R. Sec. 270.38a-1, Compliance procedures and practices of registered investment companies.

All Historical Document Collections

202404-3235-003	Extension without change of a currently approved collection	2024-07-15
202106-3235-002 Approved without change	Revision of a currently approved collection	2021-06-09
202101-3235-013 Comment filed on proposed rule and continue	Revision of a currently approved collection	2021-01-19
202008-3235-014	Extension without change of a currently approved collection	2020-11-17
201706-3235-003 Approved without change	Extension without change of a currently approved collection	2017-12-29
201407-3235-003 Approved without change	Revision of a currently approved collection	2014-07-07
201401-3235-011 Comment filed on proposed rule and continue	Revision of a currently approved collection	2014-01-21
201401-3235-004 Approved without change	Revision of a currently approved collection	2014-01-27
201211-3235-031 Approved without change	Extension without change of a currently approved collection	2013-01-07
201103-3235-024 Comment filed on proposed rule and continue	Revision of a currently approved collection	2011-03-18
201002-3235-028 Approved without change	Revision of a currently approved collection	2010-03-04
200906-3235-005 Approved without change	Extension without change of a currently approved collection	2009-10-21
200807-3235-014 Preapproved	Revision of a currently approved collection	2008-07-14
200609-3235-011 Approved without change	Extension without change of a currently approved collection	2006-10-26
200310-3235-017 Approved without change	New collection (Request for a new OMB Control Number)	2003-10-23