PocketLaw | CFR 17 | Rules and Regulations, Investment Advisers Act of

Rules and Regulations, Investment Advisers Act of 1940

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Section
275.0-2

General procedures for serving non-residents.

Section
275.0-3

References to rules and regulations.

Section
275.0-4

General requirements of papers and applications.

Section
275.0-5

Procedure with respect to applications and other matters.

Section
275.0-6

Incorporation by reference in applications.

Section
275.0-7

Small entities under the Investment Advisers Act for purposes of the Regulatory Flexibility Act.

Section
275.202(a)(1)-1

Certain transactions not deemed assignments.

Section
275.202(a)(11)(G)-1

Family offices.

Section
275.202(a)(30)-1

Foreign private advisers.

Section
275.203-1

Application for investment adviser registration.

Section
275.203-2

Withdrawal from investment adviser registration.

Section
275.203-3

Hardship exemptions.

Section
275.203(l)-1

Venture capital fund defined.

Section
275.203(m)-1

Private fund adviser exemption.

Section
275.203A-1

Eligibility for SEC registration; Switching to or from SEC registration.

Section
275.203A-2

Exemptions from prohibition on Commission registration.

Section
275.203A-3

Definitions.

Sections
275.203A-4 - 275.203A-6

§§ 275.203A-4-275.203A-6 [Reserved]

Section
275.204-1

Amendments to Form ADV.

Section
275.204-2

Books and records to be maintained by investment advisers.

Section
275.204-3

Delivery of brochures and brochure supplements.

Section
275.204-4

Reporting by exempt reporting advisers.

Section
275.204-5

Delivery of Form CRS.

Section
275.204(b)-1

Reporting by investment advisers to private funds.

Section
275.204A-1

Investment adviser codes of ethics.

Section
275.205-1

Definition of “investment performance” of an investment company and “investment record” of an appropriate index of securities prices.

Section
275.205-2

Definition of “specified period” over which the asset value of the company or fund under management is averaged.

Section
275.205-3

Exemption from the compensation prohibition of section 205(a)(1) for investment advisers.

Section
275.206(3)-1

Exemption of investment advisers registered as broker-dealers in connection with the provision of certain investment advisory services.

Section
275.206(3)-2

Agency cross transactions for advisory clients.

Section
275.206(4)-1

Investment adviser marketing.

Section
275.206(4)-2

Custody of funds or securities of clients by investment advisers.

Sections
275.206(4)-(3) - 275.206(4)-4

§§ 275.206(4)-(3)-275.206(4)-4 [Reserved]

Section
275.206(4)-5

Political contributions by certain investment advisers.

Section
275.206(4)-6

Proxy voting.

Section
275.206(4)-7

Compliance procedures and practices.

Section
275.206(4)-8

Pooled investment vehicles.

Section
275.222-1

Definitions.

Section
275.222-2

Definition of “client” for purposes of the national de minimis standard.