17 CFR 275 - RULES AND REGULATIONS, INVESTMENT ADVISERS ACT OF 1940
- § 275.0-2 — General procedures for serving non-residents.
- § 275.0-3 — References to rules and regulations.
- § 275.0-4 — General requirements of papers and applications.
- § 275.0-5 — Procedure with respect to applications and other matters.
- § 275.0-6 — Incorporation by reference in applications.
- § 275.0-7 — Small entities under the Investment Advisers Act for purposes of the Regulatory Flexibility Act.
- § 275.202(a)(1)-1 — Certain transactions not deemed assignments.
- § 275.202(a)(11)(G)-1 — Family offices.
- § 275.202(a)(30)-1 — Foreign private advisers.
- § 275.203(l)-1 — Venture capital fund defined.
- § 275.203(m)-1 — Private fund adviser exemption.
- § 275.203-1 — Application for investment adviser registration.
- § 275.203-2 — Withdrawal from investment adviser registration.
- § 275.203-3 — Hardship exemptions.
- § 275.203A-1 — Eligibility for SEC registration; Switching to or from SEC registration.
- § 275.203A-2 — Exemptions from prohibition on Commission registration.
- § 275.203A-3 — Definitions.
- § 275.203A-4 — [Reserved]
- § 275.203A-5 — Transition rules.
- § 275.203A-6 — [Reserved]
- § 275.204(b)-1 — Reporting by investment advisers to private funds.
- § 275.204-1 — Amendments to Form ADV.
- § 275.204-2 — Books and records to be maintained by investment advisers.
- § 275.204-3 — Delivery of brochures and brochure supplements.
- § 275.204-4 — Reporting by exempt reporting advisers.
- § 275.204-5 — [Reserved]
- § 275.204A-1 — Investment adviser codes of ethics.
- § 275.205-1 — Definition of “investment performance” of an investment company and “investment record” of an appropriate index of securities prices.
- § 275.205-2 — Definition of “specified period” over which the asset value of the company or fund under management is averaged.
- § 275.205-3 — Exemption from the compensation prohibition of section 205(a)(1) for investment advisers.
- § 275.206(3)-1 — Exemption of investment advisers registered as broker-dealers in connection with the provision of certain investment advisory services.
- § 275.206(3)-2 — Agency cross transactions for advisory clients.
- § 275.206(3)-3T — Temporary rule for principal trades with certain advisory clients.
- § 275.206(4)-1 — Advertisements by investment advisers.
- § 275.206(4)-2 — Custody of funds or securities of clients by investment advisers.
- § 275.206(4)-3 — Cash payments for client solicitations.
- § 275.206(4)-4 — [Reserved]
- § 275.206(4)-5 — Political contributions by certain investment advisers.
- § 275.206(4)-6 — Proxy voting.
- § 275.206(4)-7 — Compliance procedures and practices.
- § 275.206(4)-8 — Pooled investment vehicles.
- § 275.222-1 — Definitions.
- § 275.222-2 — Definition of “client” for purposes of the national de minimis standard.
Authority:
15 U.S.C. 80b-2(a)(11)(G), 80b-2(a)(11)(H), 80b-2(a)(17), 80b-3, 80b-4, 80b-4a, 80b-6(4), 80b-6a, and 80b-11, unless otherwise noted.
Section 275.203A-1 is also issued under 15 U.S.C. 80b-3a.
Section 275.203A-2 is also issued under 15 U.S.C. 80b-3a.
Section 275.203A-3 is also issued under 15 U.S.C. 80b-3a.
Section 275.203A-5 is also issued under 15 U.S.C. 80b-3a.
Section 275.204-1 is also issued under sec. 407 and 408, Pub. L. 111-203, 124 Stat. 1376.
Section 275.204-2 is also issued under 15 U.S.C. 80b-6.
Section 275.205-3 is also issued under 15 U.S.C. 80b-5(e).
Section 275.204-4 is also issued under sec. 407 and 408, Pub. L. 111-203, 124 Stat. 1376.
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.
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.
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 275 after this date.
