Rules and Regulations, Investment Advisers Act of 1940

  1. Law
  2. CFR 17
  3. Commodity and Securities Exchanges
  4. Securities and Exchange Commission
  5. 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.