Rule 204A-1

OMB 3235-0596

Rule 204A-1 requires SEC-registered investment advisers to adopt codes of ethics governing their supervised persons.

The latest form for Rule 204A-1 expires 2022-10-31 and can be found here.

Latest Forms, Documents, and Supporting Material

Document Name
3235-0596.pdf Supplementary Document
3235-0596.pdf Supplementary Document
204A-1 Supporting Statement 2022.pdf Supporting Statement A
Rule 204A-1 under the Investment Advisers Act of 1940 -- Codes of Ethics

All Historical Document Collections

202201-3235-008 Approved without change	Extension without change of a currently approved collection	2022-06-06
201906-3235-001 Approved without change	Extension without change of a currently approved collection	2019-09-11
201602-3235-005 Approved without change	Extension without change of a currently approved collection	2016-08-18
201307-3235-007 Approved without change	Extension without change of a currently approved collection	2013-07-16
201007-3235-027 Approved without change	Extension without change of a currently approved collection	2010-10-01
200708-3235-028 Approved without change	Extension without change of a currently approved collection	2008-01-30
200501-3235-009 Approved without change	Revision of a currently approved collection	2005-01-10
200412-3235-025 Approved without change	Revision of a currently approved collection	2004-12-06
200407-3235-025 Comment filed on proposed rule and continue	Revision of a currently approved collection	2004-07-22
200401-3235-010 Approved without change	New collection (Request for a new OMB Control Number)	2004-01-22