Title 17, Part 275 — Rules and Regulations, Investment Advisers Act of 1940
39 sections
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.
Section 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.
Section 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.