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SUPPORTING STATEMENT For the Paperwork Reduction Act Information Collection Submission for Rule 204A1 A.JUSTIFICATION 1. Necessity for the Information CollectionSection 204A of the Investment Advisers

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Who needs rule 204a-1?

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Rule 204a-1 is applicable to investment advisers who are registered with the Securities and Exchange Commission (SEC). They are required to adhere to the provisions of this rule to ensure compliance with regulatory requirements and reporting obligations.

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What is rule 204a-1?

Rule 204a-1 is a regulation under the Investment Advisers Act of 1940 that requires registered investment advisers to maintain and enforce written policies and procedures designed to prevent violations of the Act.

Who is required to file rule 204a-1?

Registered investment advisers are required to file rule 204a-1.

How to fill out rule 204a-1?

To fill out rule 204a-1, registered investment advisers need to maintain written policies and procedures that are tailored to their specific business practices and compliance needs.

What is the purpose of rule 204a-1?

The purpose of rule 204a-1 is to ensure that registered investment advisers have adequate compliance programs in place to prevent violations of the Investment Advisers Act of 1940.

What information must be reported on rule 204a-1?

Rule 204a-1 requires registered investment advisers to report on their written policies and procedures related to compliance with the Act.

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