17 CFR 275.206(4)-8 - Pooled investment vehicles.

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There is 1 rule appearing in the Federal Register for 17 CFR Part 275. View below or at eCFR (GPOAccess)
§ 275.206(4)-8 Pooled investment vehicles.
(a) Prohibition. It shall constitute a fraudulent, deceptive, or manipulative act, practice, or course of business within the meaning of section 206(4) of the Act (15 U.S.C. 80b-6(4)) for any investment adviser to a pooled investment vehicle to:
(1) Make any untrue statement of a material fact or to omit to state a material fact necessary to make the statements made, in the light of the circumstances under which they were made, not misleading, to any investor or prospective investor in the pooled investment vehicle; or
(2) Otherwise engage in any act, practice, or course of business that is fraudulent, deceptive, or manipulative with respect to any investor or prospective investor in the pooled investment vehicle.
(b) Definition. For purposes of this section “pooled investment vehicle” means any investment company as defined in section 3(a) of the Investment Company Act of 1940 (15 U.S.C. 80a-3(a)) or any company that would be an investment company under section 3(a) of that Act but for the exclusion provided from that definition by either section 3(c)(1) or section 3(c)(7) of that Act (15 U.S.C. 80a-3(c)(1) or (7)).
[72 FR 44761, Aug. 9, 2007]

Title 17 published on 2015-04-01.

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.

  • 2015-07-01; vol. 80 # 126 - Wednesday, July 1, 2015
    1. 80 FR 37538 - Political Contributions by Certain Investment Advisers: Ban on Third-Party Solicitation; Notice of Compliance Date
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      SECURITIES AND EXCHANGE COMMISSION
      Notice of compliance date.
      The compliance date for the ban on third-party solicitation under 17 CFR 275.206(4)-5 [rule 206(4)-5] is July 31, 2015.
      17 CFR Part 275

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United States Code

Title 17 published on 2015-04-01

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

  • 2015-07-02; vol. 80 # 127 - Thursday, July 2, 2015
    1. 80 FR 38051 - Amendments to Form ADV and Investment Advisers Act Rules
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      SECURITIES AND EXCHANGE COMMISSION
      17 CFR Parts 275 and 279