Skip to main content
 
CFR › Title 17 › Chapter II › Part 270

17 CFR Part 270 - RULES AND REGULATIONS, INVESTMENT COMPANY ACT OF 1940

There is 1 rule appearing in the Federal Register for 17 CFR 270. Select the tab below to view, or View eCFR (GPOAccess)
Authority:
15 U.S.C. 80a-1 et seq., 80a-34(d), 80a-37, and 80a-39, unless otherwise noted.
Section 270.0-1 also issued under sec. 38(a) (15 U.S.C. 80a-37(a));
Section 270.0-1(a)(7) is also issued under 15 U.S.C. 80a-10(e);
Section 270.0-11 also issued under secs. 8, 24, 30 and 38, Investment Company Act (15 U.S.C. 80a-8, 80a-24, 80a-29 and 80a-37), secs. 6, 7, 8, 10 and 19(a), Securities Act (15 U.S.C. 77f, 77g, 77h, 77j, 77s(a)) and secs. 3(b), 12, 13, 14, 15(d) and 23(a), Exchange Act (15 U.S.C. 78c(b), 78l, 78m, 78n, 78o(d) and 78w(a));
Section 270.6c-9 is also issued under secs. 6(c) (15 U.S.C. 80a-6(c)) and 38(a) (15 U.S.C. 80a-37(a));
Section 270.6c-10 is also issued under sec. 6(c) (15 U.S.C. 80a-6(c));
Section 270.6e-3(T) is also issued under sec. 6(e), 15 U.S.C. 80a-5(e);
Section 270.8b-11 is also issued under 15 U.S.C. 77s, 80a-8, and 80a-37;
Section 270.10e-1 is also issued under 15 U.S.C. 80a-10(e);
Sections 270.12d1-1, 270.12d1-2, and 270.12d1-3 are also issued under 15 U.S.C. 80a-6(c), 80a-12(d)(1)(J), and 80a-37(a).
Section 270.12d3-1 is also issued under 15 U.S.C. 80a-6(c);
Section 270.17a-8 is also issued under 15 U.S.C. 80a-6(c) and 80a-37(a);
Section 270.17d-1 is also issued under 15 U.S.C. 80a-6(c), 80a-17(d), and 80a-37(a);
Section 270.17e-1 is also issued under 15 U.S.C. 80a-6(c), 80a-30(a), and 80a-37(a);
Section 270.17f-5 also issued under sec. 6(c) (15 U.S.C. 80a-6(c);
Section 270.17g-1 is also issued under 15 U.S.C. 80a-6(c), 80a-17(d), 80a-17(g), and 80a-37(a);
Section 270.17j-1 is also issued under secs. 206(4) and 211(a), Investment Advisers Act (15 U.S.C. 80b-6(4) and 80b-11(a));
Section 270.19b-1 is also issued under secs. 6(c) (15 U.S.C. 80a-6(c)), 19 (a) and (b) (15 U.S.C 80a-19 (a) and (b)), and 38(a) (15 U.S.C. 80a-37(a));
Section 270.22c-1 also issued under secs. 6(c), 22(c), and 38(a) (15 U.S.C. 80a-6(c), 80a-22(c), and 80a-37(a));
Section 270.23c-3 also issued under 15 U.S.C. 80a-23(c).
Section 270.24f-2 also issued under 15 U.S.C. 80a-24(f)(4).
Section 270.30a-1 is also issued under 15 U.S.C. 78m, 78o(d), 80a-8, and 80a-29.
Section 270.30a-2 is also issued under 15 U.S.C. 78m, 78o(d), 80a-8, 80a-29, 7202, and 7241; and 18 U.S.C. 1350, unless otherwise noted.
Section 270.30a-3 is also issued under 15 U.S.C. 78m, 78o(d), 80a-8, and 80a-29, and secs. 3(a) and 302, Pub. L. 107-204, 116 Stat. 745.
Section 270.30b1-1 is also issued under 15 U.S.C. 78m, 78o(d), 80a-8, and 80a-29.
Section 270.30b2-1 is also issued under 15 U.S.C. 78m, 78o(d), 80a-8, and 80a-29, and secs. 3(a) and 302, Pub. L. 107-204, 116 Stat. 745.
Section 270.30d-1 is also issued under 15 U.S.C. 78m, 78o(d), 80a-8, and 80a-29, and secs. 3(a) and 302, Pub. L. 107-204, 116 Stat. 745.
Section 270.30e-1 is also issued under 15 U.S.C. 77f, 77g, 77h, 77j, 77s, 78l, 78m, 78n, 78o(d), 78w(a), 80a-8, 80a-29, and 80a-37;
Section 270.31a-2 is also issued under 15 U.S.C. 80a-30.
ATTENTION ELECTRONIC FILERS
THIS REGULATION SHOULD BE READ IN CONJUNCTION WITH REGULATION S-T (PART 232 OF THIS CHAPTER), WHICH GOVERNS THE PREPARATION AND SUBMISSION OF DOCUMENTS IN ELECTRONIC FORMAT. MANY PROVISIONS RELATING TO THE PREPARATION AND SUBMISSION OF DOCUMENTS IN PAPER FORMAT CONTAINED IN THIS REGULATION ARE SUPERSEDED BY THE PROVISIONS OF REGULATION S-T FOR DOCUMENTS REQUIRED TO BE FILED IN ELECTRONIC FORMAT.

Title 17 published on 2012-04-01

The following are only the Rules published in the Federal Register after the published date of Title 17.

For a complete list of all Rules, Proposed Rules, and Notices view the Rulemaking tab.

  • 2012-11-23; vol. 77 # 226 - Friday, November 23, 2012
    1. 77 FR 70117 - Purchase of Certain Debt Securities by Business and Industrial Development Companies Relying on an Investment Company Act Exemption
      GPO FDSys XML | Text
      SECURITIES AND EXCHANGE COMMISSION
      Final rule.
      Effective date: December 24, 2012.
      17 CFR Part 270

This is a list of United States Code sections, Statutes at Large, Public Laws, and Presidential Documents, which provide rulemaking authority for this CFR Part.

This list is taken from the Parallel Table of Authorities and Rules provided by GPO [Government Printing Office].

It is not guaranteed to be accurate or up-to-date, though we do refresh the database weekly. More limitations on accuracy are described at the GPO site.

United States Code
USC : Title 15 - COMMERCE AND TRADE

§ 30 - Repealed.

§ 37 - Immunity from antitrust laws

§ 77f - Registration of securities

§ 77g - Information required in registration statement

§ 77h - Taking effect of registration statements and amendments thereto

§ 77j - Information required in prospectus

§ 77q - Fraudulent interstate transactions

§ 77s - Special powers of Commission

§ 77eee - Securities required to be registered under Securities Act

§ 77ggg - Qualification of indentures covering securities not required to be registered

§ 77nnn - Reports by obligor; evidence of compliance with indenture provisions

§ 77sss - Rules, regulations, and orders

§ 78c - Definitions and application

§ 78d - Securities and Exchange Commission

15 USC § -

§ 78m - Periodical and other reports

§ 78n - Proxies

15 U.S.C. § -

§ 78w - Rules, regulations, and orders; annual reports

§ 78bb - Effect on existing law

§ 78ee - Transaction fees

§ 79c

§ 79t

15 USC § 80a–1 - Findings and declaration of policy

15 USC § 80a–2 - Definitions; applicability; rulemaking considerations

15 USC § 80a–3 - Definition of investment company

15 USC § 80a–3a - Protection of philanthropy under State law

15 USC § 80a–4 - Classification of investment companies

15 USC § 80a–5 - Subclassification of management companies

15 USC § 80a–6 - Exemptions

15 USC § 80a–7 - Transactions by unregistered investment companies

15 USC § 80a–8 - Registration of investment companies

15 USC § 80a–9 - Ineligibility of certain affiliated persons and underwriters

15 USC § 80a–10 - Affiliations or interest of directors, officers, and employees

15 USC § 80a–11 - Offers to exchange securities

15 USC § 80a–12 - Functions and activities of investment companies

15 USC § 80a–13 - Changes in investment policy

15 USC § 80a–14 - Size of investment companies

15 USC § 80a–15 - Contracts of advisers and underwriters

15 USC § 80a–16 - Board of directors

15 USC § 80a–17 - Transactions of certain affiliated persons and underwriters

15 USC § 80a–18 - Capital structure of investment companies

15 USC § 80a–19 - Payments or distributions

15 USC § 80a–20 - Proxies; voting trusts; circular ownership

15 USC § 80a–21 - Loans by management companies

15 USC § 80a–22 - Distribution, redemption, and repurchase of securities; regulations by securities associations

15 USC § 80a–23 - Closed-end companies

15 USC § 80a–24 - Registration of securities under Securities Act of 1933

15 USC § 80a–25 - Reorganization plans; reports by Commission

15 USC § 80a–26 - Unit investment trusts

15 USC § 80a–27 - Periodic payment plans

15 USC § 80a–28 - Face-amount certificate companies

15 USC § 80a–29 - Reports and financial statements of investment companies and affiliated persons

15 USC § 80a–30 - Accounts and records

15 USC § 80a–31 - Accountants and auditors

15 USC § 80a–32 - Filing of documents with Commission in civil actions

15 USC § 80a–33 - Destruction and falsification of reports and records

15 USC § 80a–34 - Unlawful representations and names

15 USC § 80a–35 - Breach of fiduciary duty

15 USC § 80a–36 - Larceny and embezzlement

15 USC § 80a–37 - Rules, regulations, and orders

15 USC § 80a–38 - Procedure for issuance of rules and regulations

15 USC § 80a–39 - Procedure for issuance of orders

15 USC § 80a–40 - Hearings by Commission

15 USC § 80a–41 - Enforcement of subchapter

15 USC § 80a–42 - Court review of orders

15 USC § 80a–43 - Jurisdiction of offenses and suits

15 USC § 80a–44 - Disclosure of information filed with Commission; copies

15 USC § 80a–45 - Reports by Commission; hiring and leasing authority

15 USC § 80a–46 - Validity of contracts

15 USC § 80a–47 - Liability of controlling persons; preventing compliance with subchapter

15 USC § 80a–48 - Penalties

15 USC § 80a–49 - Construction with other laws

15 USC § 80a–50 - Separability

15 USC § 80a–51 - Short title

15 USC § 80a–52 - Effective date

15 USC § 80a–53 - Election to be regulated as business development company

15 USC § 80a–54 - Acquisition of assets by business development companies

15 USC § 80a–55 - Qualifications of directors

15 USC § 80a–56 - Transactions with certain affiliates

15 USC § 80a–57 - Changes in investment policy

15 USC § 80a–58 - Incorporation of subchapter provisions

15 USC § 80a–59 - Functions and activities of business development companies

15 USC § 80a–60 - Capital structure

15 USC § 80a–61 - Loans

15 USC § 80a–62 - Distribution and repurchase of securities

15 USC § 80a–63 - Accounts and records

15 USC § 80a–64 - Preventing compliance with subchapter; liability of controlling persons

15 USC § 79 to 79z–6 - Repealed.

15 USC § 80b–3 - Registration of investment advisers

15 USC § 80b–4 - Reports by investment advisers

15 USC § 80b–11 - Rules, regulations, and orders of Commission

15 USC § 79 to 79z–6 - Repealed.

15 USC § 79 to 79z–6 - Repealed.

15 USC § 79 to 79z–6 - Repealed.

Title 17 published on 2012-04-01

The following are ALL rules, proposed rules, and notices (chronologically) published in the Federal Register relating to 17 CFR 270 after this date.

  • 2012-11-23; vol. 77 # 226 - Friday, November 23, 2012
    1. 77 FR 70117 - Purchase of Certain Debt Securities by Business and Industrial Development Companies Relying on an Investment Company Act Exemption
      GPO FDSys XML | Text
      SECURITIES AND EXCHANGE COMMISSION
      Final rule.
      Effective date: December 24, 2012.
      17 CFR Part 270