
[Federal Register Volume 79, Number 121 (Tuesday, June 24, 2014)]
[Notices]
[Page 35821]
From the Federal Register Online via the Government Printing Office [www.gpo.gov]
[FR Doc No: 2014-14661]


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SECURITIES AND EXCHANGE COMMISSION


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 203-2 and Form ADV-W; OMB Control No. 3235-0313, SEC File 
No. 270-40.

    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 ``Rule 203-2 (17 CFR 
275.203-2) and Form ADV-W (17 CFR 279.2) under the Investment Advisers 
Act of 1940 (15 U.S.C. 80b).'' Rule 203-2 under the Investment Advisers 
Act of 1940 establishes procedures for an investment adviser to 
withdraw its registration with the Commission. Rule 203-2 requires 
every person withdrawing from investment adviser registration with the 
Commission to file Form ADV-W electronically on the Investment Adviser 
Registration Depository (``IARD''). The purpose of the information 
collection is to notify the Commission and the public when an 
investment adviser withdraws its pending or approved SEC registration. 
Typically, an investment adviser files a Form ADV-W when it ceases 
doing business or when it is ineligible to remain registered with the 
Commission.
    The potential respondents to this information collection are all 
investment advisers registered with the Commission. The Commission has 
estimated that compliance with the requirement to complete Form ADV-W 
imposes a total burden of approximately 0.75 hours (45 minutes) for an 
adviser filing for full withdrawal and approximately 0.25 hours (15 
minutes) for an adviser filing for partial withdrawal. Based on 
historical filings, the Commission estimates that there are 
approximately 600 respondents annually filing for full withdrawal and 
approximately 200 respondents annually filing for partial withdrawal. 
Based on these estimates, the total estimated annual burden would be 
500 hours ((600 respondents x .75 hours) + (200 respondents x .25 
hours)).
    Rule 203-2 and Form ADV-W 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-W are 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 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: June 18, 2014.
Kevin M. O'Neill,
Deputy Secretary.
[FR Doc. 2014-14661 Filed 6-23-14; 8:45 am]
BILLING CODE 8011-01-P


