
[Federal Register Volume 79, Number 69 (Thursday, April 10, 2014)]
[Notices]
[Page 19933]
From the Federal Register Online via the Government Printing Office [www.gpo.gov]
[FR Doc No: 2014-08002]


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SECURITIES AND EXCHANGE COMMISSION

[OMB Control No. 3235-0538, SEC File No. 270-481]


Submission for OMB Review; Comment Request

Upon Written Request, Copies Available From: Securities and Exchange 
Commission, Office of Investor Education and Advocacy, Washington, DC 
20549-0213.

Extension:
    Rule 203-3, Form ADV-H.

    Notice is hereby given that, pursuant to the Paperwork Reduction 
Act of 1995 (44 U.S.C. 3501 et seq.), the Securities and Exchange 
Commission (``Commission'') has submitted to the Office of Management 
and Budget (``OMB'') a request for extension of the previously approved 
collection of information discussed below.
    The title for the collection of information is ``Form ADV-H under 
the Investment Advisers Act of 1940.'' Rule 203-3 (17 CFR 275.203-3) 
under the Investment Advisers Act of 1940 (15 U.S.C. 80b) requires that 
registered advisers requesting either a temporary or continuing 
hardship exemption submit the request on Form ADV-H. Rule 204-4 (17 CFR 
275.204-4) under the Investment Advisers Act of 1940 requires that 
exempt reporting advisers requesting a temporary hardship exemption 
submit the request on Form ADV-H. The purpose of this collection of 
information is to permit advisers to obtain a hardship exemption to not 
complete an electronic filing. The temporary hardship exemption that is 
available to registered advisers under rule 203-3 and exempt reporting 
advisers under rule 204-4 permits these advisers to make late filings 
due to unforeseen computer or software problems. The continuing 
hardship exemption available to registered advisers under rule 203-3 
permits advisers to submit all required electronic filings on hard copy 
for data entry by the operator of the IARD.
    The Commission has estimated that compliance with the requirement 
to complete Form ADV-H imposes a total burden of approximately one hour 
for an adviser. Based on our experience with hardship filings, we 
estimate that we will receive 11 Form ADV-H filings annually from 
registered investment advisers and three Form ADV-H filings annually 
from exempt reporting advisers. Based on the 60 minute per respondent 
estimate, the Commission estimates a total annual burden of 14 hours 
for this collection of information.
    Rule 203-3, rule 204-4, and Form ADV-H do not require recordkeeping 
or records retention. The collection of information requirements under 
the rule and form are mandatory. The information collected pursuant to 
the rule and Form ADV-H consists of filings with the Commission. These 
filings are not kept confidential. An agency may not conduct or 
sponsor, and a person is not required to respond to, a collection of 
information unless it displays a currently valid OMB control number.
    The public may view the background documentation for this 
information collection at the following Web site, www.reginfo.gov. 
Comments should be directed to: (i) Desk Officer for the Securities and 
Exchange Commission, Office of Information and Regulatory Affairs, 
Office of Management and Budget, Room 10102, New Executive Office 
Building, Washington, DC 20503, or by sending an email to: Shagufta_Ahmed@omb.eop.gov; and (ii) Thomas Bayer, Chief Information Officer, 
Securities and Exchange Commission, c/o Remi Pavlik-Simon, 100 F Street 
NE., Washington, DC 20549 or send an email to: PRA_Mailbox@sec.gov. 
Comments must be submitted to OMB within 30 days of this notice.

    Dated: April 4, 2014.
Kevin M. O'Neill,
Deputy Secretary.
[FR Doc. 2014-08002 Filed 4-9-14; 8:45 am]
BILLING CODE 8011-01-P


