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Rules and Regulations, Investment Company Act of 1940
Law
CFR 17
Commodity and Securities Exchanges
Securities and Exchange Commission
Rules and Regulations, Investment Company Act of 1940
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Section
270.0-1
Definition of terms used in this part.
Section
270.0-2
General requirements of papers and applications.
Section
270.0-3
Amendments to registration statements and reports.
Section
270.0-4
Incorporation by reference.
Section
270.0-5
Procedure with respect to applications and other matters.
Section
270.0-8
Payment of fees.
Section
270.0-9
§ 270.0-9 [Reserved]
Section
270.0-10
Small entities under the Investment Company Act for purposes of the Regulatory Flexibility Act.
Section
270.0-11
Customer identification programs.
Section
270.2a-1
Valuation of portfolio securities in special cases.
Section
270.2a-2
Effect of eliminations upon valuation of portfolio securities.
Section
270.2a3-1
Investment company limited partners not deemed affiliated persons.
Section
270.2a-4
Definition of “current net asset value” for use in computing periodically the current price of redeemable security.
Section
270.2a-5
Fair value determination and readily available market quotations.
Section
270.2a-6
Certain transactions not deemed assignments.
Section
270.2a-7
Money market funds.
Section
270.2a19-2
Investment company general partners not deemed interested persons.
Section
270.2a19-3
Certain investment company directors not considered interested persons because of ownership of index fund securities.
Section
270.2a41-1
Valuation of standby commitments by registered investment companies.
Section
270.2a-46
Certain issuers as eligible portfolio companies.
Section
270.2a51-1
Definition of investments for purposes of section 2(a)(51) (definition of “qualified purchaser”); certain calculations.
Section
270.2a51-2
Definitions of beneficial owner for certain purposes under sections 2(a)(51) and 3(c)(7) and determining indirect ownership interests.
Section
270.2a51-3
Certain companies as qualified purchasers.
Section
270.3a-1
Certain prima facie investment companies.
Section
270.3a-2
Transient investment companies.
Section
270.3a-3
Certain investment companies owned by companies which are not investment companies.
Section
270.3a-4
Status of investment advisory programs.
Section
270.3a-5
Exemption for subsidiaries organized to finance the operations of domestic or foreign companies.
Section
270.3a-6
Foreign banks and foreign insurance companies.
Section
270.3a-7
Issuers of asset-backed securities.
Section
270.3a-8
Certain research and development companies.
Section
270.3a-9
Crowdfunding vehicle.
Section
270.3c-1
Definition of beneficial ownership for certain 3(c)(1) funds.
Section
270.3c-2
Definition of beneficial ownership in small business investment companies.
Section
270.3c-3
Definition of certain terms used in section 3(c)(1) of the Act with respect to certain debt securities offered by small business investment companies.
Section
270.3c-4
Definition of “common trust fund” as used in section 3(c)(3) of the Act.
Section
270.3c-5
Beneficial ownership by knowledgeable employees and certain other persons.
Section
270.3c-6
Certain transfers of interests in section 3(c)(1) and section 3(c)(7) funds.
Section
270.5b-1
Definition of “total assets.”
Section
270.5b-2
Exclusion of certain guarantees as securities of the guarantor.
Section
270.5b-3
Acquisition of repurchase agreement or refunded security treated as acquisition of underlying securities.
Section
270.6a-5
Purchase of certain debt securities by companies relying on section 6(a)(5) of the Act.
Section
270.6b-1
Exemption of employees' securities company pending determination of application.
Section
270.6c-3
Exemptions for certain registered variable life insurance separate accounts.
Section
270.6c-6
Exemption for certain registered separate accounts and other persons.
Section
270.6c-7
Exemptions from certain provisions of sections 22(e) and 27 for registered separate accounts offering variable annuity contracts to participants in the Texas Optional Retirement Program.
Section
270.6c-8
Exemptions for registered separate accounts to impose a deferred sales load and to deduct certain administrative charges.
Section
270.6c-10
Exemption for certain open-end management investment companies to impose deferred sales loads.
Section
270.6c-11
Exchange-traded funds.
Section
270.6d-1
Exemption for certain closed-end investment companies.
Section
270.6e-2
Exemptions for certain variable life insurance separate accounts.
Section
270.6e-3
Exemptions for flexible premium variable life insurance separate accounts.
Section
270.7d-1
Specification of conditions and arrangements for Canadian management investment companies requesting order permitting registration.
Section
270.7d-2
Definition of “public offering” as used in section 7(d) of the Act with respect to certain Canadian tax-deferred retirement savings accounts.
Section
270.8b-1
Scope of §§ 270.8b-1 through 270.8b-31.
Section
270.8b-2
Definitions.
Section
270.8b-3
Title of securities.
Section
270.8b-4
Interpretation of requirements.
Section
270.8b-5
Time of filing original registration statement.
Section
270.8b-6
§ 270.8b-6 [Reserved]
Section
270.8b-10
Requirements as to proper form.
Section
270.8b-11
Number of copies; signatures; binding.
Section
270.8b-12
Requirements as to paper, printing and language.
Section
270.8b-13
Preparation of registration statement or report.
Section
270.8b-14
Riders; inserts.
Section
270.8b-15
Amendments.
Section
270.8b-16
Amendments to registration statement.
Section
270.8b-20
Additional information.
Section
270.8b-21
Information unknown or not available.
Section
270.8b-22
Disclaimer of control.
Sections
270.8b-23 - 270.8b-24
§§ 270.8b-23-270.8b-24 [Reserved]
Section
270.8b-25
Extension of time for furnishing information.
Section
270.8b-30
Additional exhibits.
Section
270.8b-31
Omission of substantially identical documents.
Section
270.8b-32
§ 270.8b-32 [Reserved]
Section
270.8f-1
Deregistration of certain registered investment companies.
Section
270.10b-1
Definition of regular broker or dealer.
Section
270.10e-1
Death, disqualification, or bona fide resignation of directors.
Section
270.10f-1
Conditional exemption of certain underwriting transactions.
Section
270.10f-2
Exercise of warrants or rights received on portfolio securities.
Section
270.10f-3
Exemption for the acquisition of securities during the existence of an underwriting or selling syndicate.
Section
270.11a-1
Definition of “exchange” for purposes of section 11 of the Act.
Section
270.11a-2
Offers of exchange by certain registered separate accounts or others the terms of which do not require prior Commission approval.
Section
270.11a-3
Offers of exchange by open-end investment companies other than separate accounts.
Section
270.12b-1
Distribution of shares by registered open-end management investment company.
Section
270.12d1-1
Exemptions for investments in money market funds.
Section
270.12d1-2
§ 270.12d1-2 [Reserved]
Section
270.12d1-3
Exemptions for investment companies relying on section 12(d)(1)(F) of the Act.
Section
270.12d1-4
Exemptions for investments in certain investment companies.
Section
270.12d2-1
Definition of insurance company for purposes of sections 12(d)(2) and 12(g) of the Act.
Section
270.12d3-1
Exemption of acquisitions of securities issued by persons engaged in securities related businesses.
Section
270.13a-1
Exemption for change of status by temporarily diversified company.
Section
270.14a-1
Use of notification pursuant to regulation E under the Securities Act of 1933.
Section
270.14a-2
Exemption from section 14(a) of the Act for certain registered separate accounts and their principal underwriters.
Section
270.14a-3
Exemption from section 14(a) of the Act for certain registered unit investment trusts and their principal underwriters.
Section
270.15a-1
Exemption from stockholders' approval of certain small investment advisory contracts.
Section
270.15a-2
Annual continuance of contracts.
Section
270.15a-3
Exemption for initial period of investment adviser of certain registered separate accounts from requirement of security holder approval of investment advisory contract.
Section
270.15a-4
Temporary exemption for certain investment advisers.
Section
270.16a-1
Exemption for initial period of directors of certain registered accounts from requirements of election by security holders.
Section
270.17a-1
Exemption of certain underwriting transactions exempted by § 270.10f-1.
Section
270.17a-2
Exemption of certain purchase, sale, or borrowing transactions.
Section
270.17a-3
Exemption of transactions with fully owned subsidiaries.
Section
270.17a-4
Exemption of transactions pursuant to certain contracts.
Section
270.17a-5
Pro rata distribution neither “sale” nor “purchase.”
Section
270.17a-6
Exemption for transactions with portfolio affiliates.
Section
270.17a-7
Exemption of certain purchase or sale transactions between an investment company and certain affiliated persons thereof.
Section
270.17a-8
Mergers of affiliated companies.
Section
270.17a-9
Purchase of certain securities from a money market fund by an affiliate, or an affiliate of an affiliate.
Section
270.17a-10
Exemption for transactions with certain subadvisory affiliates.
Section
270.17d-1
Applications regarding joint enterprises or arrangements and certain profit-sharing plans.
Section
270.17d-2
Form for report by small business investment company and affiliated bank.
Section
270.17d-3
Exemption relating to certain joint enterprises or arrangements concerning payment for distribution of shares of a registered open-end management investment company.
Section
270.17e-1
Brokerage transactions on a securities exchange.
Section
270.17f-1
Custody of securities with members of national securities exchanges.
Section
270.17f-2
Custody of investments by registered management investment company.
Section
270.17f-3
Free cash accounts for investment companies with bank custodians.
Section
270.17f-4
Custody of investment company assets with a securities depository.
Section
270.17f-5
Custody of investment company assets outside the United States.
Section
270.17f-6
Custody of investment company assets with Futures Commission Merchants and Commodity Clearing Organizations.
Section
270.17f-7
Custody of investment company assets with a foreign securities depository.
Section
270.17g-1
Bonding of officers and employees of registered management investment companies.
Section
270.17j-1
Personal investment activities of investment company personnel.
Section
270.18c-1
Exemption of privately held indebtedness.
Section
270.18c-2
Exemptions of certain debentures issued by small business investment companies.
Section
270.18f-1
Exemption from certain requirements of section 18(f)(1) (of the Act) for registered open-end investment companies which have the right to redeem in kind.
Section
270.18f-2
Fair and equitable treatment for holders of each class or series of stock of series investment companies.
Section
270.18f-3
Multiple class companies.
Section
270.18f-4
Exemption from the requirements of section 18 and section 61 for certain senior securities transactions.
Section
270.19a-1
Written statement to accompany dividend payments by management companies.
Section
270.19b-1
Frequency of distribution of capital gains.
Section
270.20a-1
Solicitation of proxies, consents and authorizations.
Sections
270.20a-2 - 270.20a-4
§§ 270.20a-2-270.20a-4 [Reserved]
Section
270.22c-1
Pricing of redeemable securities for distribution, redemption and repurchase.
Section
270.22c-2
Redemption fees for redeemable securities.
Section
270.22d-1
Exemption from section 22(d) to permit sales of redeemable securities at prices which reflect sales loads set pursuant to a schedule.
Section
270.22d-2
Exemption from section 22(d) for certain registered separate accounts.
Section
270.22e-1
Exemption from section 22(e) of the Act during annuity payment period of variable annuity contracts participating in certain registered separate accounts.
Section
270.22e-2
Pricing of redemption requests in accordance with Rule 22c-1.
Section
270.22e-3
Exemption for liquidation of money market funds.
Section
270.22e-4
Liquidity risk management programs.
Section
270.23c-1
Repurchase of securities by closed-end companies.
Section
270.23c-2
Call and redemption of securities issued by registered closed-end companies.
Section
270.23c-3
Repurchase offers by closed-end companies.
Section
270.24b-1
Definitions.
Section
270.24b-2
Filing copies of sales literature.
Section
270.24b-3
Sales literature deemed filed.
Section
270.24b-4
Filing copies of covered investment fund research reports.
Section
270.24e-1
Filing of certain prospectuses as post-effective amendments to registration statements under the Securities Act of 1933.
Section
270.24f-2
Registration under the Securities Act of 1933 of certain investment company securities.
Section
270.26a-1
Payment of administrative fees to the depositor or principal underwriter of a unit investment trust; exemptive relief for separate accounts.
Section
270.27c-1
§ 270.27c-1 [Reserved]
Section
270.27d-1
Reserve requirements for principal underwriters and depositors to carry out the obligations to refund charges required by section 27(d) and section 27(f) of the Act.
Section
270.27d-2
§ 270.27d-2 [Reserved]
Section
270.27e-1
§ 270.27e-1 [Reserved]
Section
270.27f-1
§ 270.27f-1 [Reserved]
Section
270.27g-1
§ 270.27g-1 [Reserved]
Section
270.27h-1
§ 270.27h-1 [Reserved]
Section
270.27i-1
Exemption from Section 27(i)(2)(A) of the Act during annuity payment period of variable annuity contracts participating in certain registered separate accounts.
Section
270.28b-1
Investment in loans partially or wholly guaranteed under the Servicemen's Readjustment Act of 1944, as amended.
Section
270.30a-1
Annual report for registered investment companies.
Section
270.30a-2
Certification of Form N-CSR.
Section
270.30a-3
Controls and procedures.
Section
270.30a-4
Annual report for wholly-owned registered management investment company subsidiary of registered management investment company.
Sections
270.30b1-1 - 270.b1-3
§§ 270.30b1-1-270.b1-3 [Reserved]
Section
270.30b1-4
Report of proxy voting record.
Section
270.30b1-5
§ 270.30b1-5 [Reserved]
Section
270.30b1-7
Monthly report for money market funds.
Section
270.30b1-8
Current report for money market funds.
Section
270.30b1-9
Monthly report.
Section
270.30b1-9(T)
Temporary rule regarding monthly report.
Section
270.30b1-10
Current report for open-end and closed-end management investment companies.
Section
270.30b2-1
Filing of reports to stockholders.
Section
270.30d-1
Filing of copies of reports to shareholders.
Section
270.30e-1
Reports to stockholders of management companies.
Section
270.30e-2
Reports to shareholders of unit investment trusts.
Section
270.30e-3
Internet availability of reports to shareholders.
Section
270.30h-1
Applicability of section 16 of the Exchange Act to section 30(h).
Section
270.31a-1
Records to be maintained by registered investment companies, certain majority-owned subsidiaries thereof, and other persons having transactions with registered investment companies.
Section
270.31a-2
Records to be preserved by registered investment companies, certain majority-owned subsidiaries thereof, and other persons having transactions with registered investment companies.
Section
270.31a-3
Records prepared or maintained by other than person required to maintain and preserve them.
Section
270.31a-4
Records to be maintained and preserved by registered investment companies relating to fair value determinations.
Section
270.32a-1
Exemption of certain companies from affiliation provisions of section 32(a).
Section
270.32a-2
Exemption for initial period from vote of security holders on independent public accountant for certain registered separate accounts.
Section
270.32a-3
Exemption from provision of section 32(a)(1) regarding the time period during which a registered management investment company must select an independent public accountant.
Section
270.32a-4
Independent audit committees.
Section
270.34b-1
Sales literature deemed to be misleading.
Section
270.35d-1
Investment company names.
Section
270.38a-1
Compliance procedures and practices of certain investment companies.
Section
270.45a-1
Confidential treatment of names and addresses of dealers of registered investment company securities.
Section
270.55a-1
Investment activities of business development companies.
Section
270.57b-1
Exemption for downstream affiliates of business development companies.
Section
270.60a-1
Exemption for certain business development companies.