17 CFR Part 276 - INTERPRETATIVE RELEASES RELATING TO THE INVESTMENT ADVISERS ACT OF 1940 AND GENERAL RULES AND REGULATIONS THEREUNDER


Subject Release No. Date Fed. Reg. Vol. and Page
Opinion of General Counsel relating to section 202(a)(11)(C) of the Investment Advisers Act of 1940 2 Oct. 28, 1940 11 FR 10996.
Opinion of the General Counsel relating to the use of the name “investment counsel” under section 208(c) of the Investment Advisers Act of 1940 8 Dec. 12, 1940 Do.
Opinion of Director of Trading and Exchange Division, relating to section 206 of the Investment Advisers Act of 1940, section 17(a) of the Securities Act of 1933, and sections 10(b) and 15(c)(1) of the Securities Exchange Act of 1934 40 Feb. 5, 1945 11 FR 10997.
Opinion of the General Counsel relating to the use of “hedge clauses” by brokers, dealers, investment advisers, and others 58 Apr. 10, 1951 16 FR 3387.
Statement of the Commission to clarify the meaning of “beneficial ownership of securities” as relates to beneficial ownership of securities held by family members 194 Jan. 25, 1966 31 FR 1005.
Statement of the Commission setting the date of May 1, 1966 after which filings must reflect beneficial ownership of securities held by family members 196 Feb. 14, 1966 31 FR 3175.
Statement of the Commission describing nature of examination required to be made of all funds and securities held by an investment adviser and the content of related accountant's certificate 201 June 1, 1966 31 FR 7821.
Publication of the Commission's procedure to be followed if requests are to be met for no action or interpretative letters and responses thereto to be made available for public use 281 Jan. 25, 1971 36 FR 2600.
Commission's statement of factors to be considered in connection with investment company advisory contracts containing incentive arrangements 315 Apr. 19, 1972 37 FR 7690.
Applicability of Commission's policy statement on the future structure of securities markets to selection of brokers and payment of commissions by institutional managers 318 May 18, 1972 37 FR 9988.
Commission's decisions on advisory committee recommendations regarding commencement of enforcement proceedings and termination of staff investigations 336 Mar. 1, 1973 38 FR 5457.
Commission's statement on obligations of underwriters with respect to discretionary accounts 377 June 29, 1973 38 FR 17201.
Applicability of investment advisers act to certain publications 563 Jan. 10, 1977 42 FR 2953;42 FR 8140.
Contingent advisory compensation arrangements 721 May 16, 1980 45 FR 34876.
Applicability of investment advisers act to financial planners, pension consultants, and other persons who provide investment advisory services as an integral component of other financially related services 770 Aug. 13, 1981 46 FR 41771.
Statement of position of Commission's Division of Investment Management 969 Apr. 30, 1985 50 FR 19341.
Statement of staff interpretive position regarding certain rules and forms; uniform registration, disclolsure, and reporting requirements 1000 Dec. 3, 1985 50 FR 49835.
Applicability of the investment Advisers Act to financial planners, pension consultants, and other persons who provide investment advisory services as a component of other financial services 1092 Oct. 8, 1987 52 FR 38400.
Registration of Successors to Broker-Dealers and Investment Advisors 1357 Jan. 4, 1993 58 FR 11.
Use of electronic media for delivery purposes 1562 May 9, 1996 61 FR 24651.
Statement of the Commission Regarding Use of Internet Web Sites to Offer Securities, Solicit Securities Transactions or Advertise Investment Services Offshore 1710 Mar. 23, 1998 63 FR 14814
Interpretation of Section 206(3) of the Investment Advisers Act of 1940 1732 July 17, 1998 63 FR 39508
Statement of the Commission Regarding Disclosure of Year 2000 Issues and Consequences by Public Companies, Investment Advisers, Investment Companies, and Municipal Securities Issuers 1738 July 29, 1998 63 FR 41404
Release No. IA-2969 Dec. 30, 2009 75 FR 1494

Title 17 published on 2013-04-01

no entries appear in the Federal Register after this date.