17 CFR 275.222-2 - Definition of “client” for purposes of the national de minimis standard.

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§ 275.222-2 Definition of “client” for purposes of the national de minimis standard.
For purposes of section 222(d)(2) of the Act (15 U.S.C. 80b-18a(d)(2)), an investment adviser may rely upon the definition of “client” provided by § 275.202(a)(30)-1, without giving regard to paragraph (b)(4) of that section.
[76 FR 43014, July 19, 2011]

Title 17 published on 2014-04-01

no entries appear in the Federal Register after this date.

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.

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United States Code

Title 17 published on 2014-04-01

The following are ALL rules, proposed rules, and notices (chronologically) published in the Federal Register relating to 17 CFR 275 after this date.

  • 2014-08-18; vol. 79 # 159 - Monday, August 18, 2014
    1. 79 FR 48709 - Temporary Rule Regarding Principal Trades With Certain Advisory Clients
      GPO FDSys XML | Text
      SECURITIES AND EXCHANGE COMMISSION
      Proposed rule.
      Comments must be received on or before September 17, 2014.
      17 CFR Part 275