17 CFR 275.222-1 - Definitions.

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There is 1 rule appearing in the Federal Register for 17 CFR Part 275. View below or at eCFR (GPOAccess)
§ 275.222-1 Definitions.
For purposes of section 222 (15 U.S.C. 80b-18a) of the Act:
(a) Place of business. “Place of business” of an investment adviser means:
(1) An office at which the investment adviser regularly provides investment advisory services, solicits, meets with, or otherwise communicates with clients; and
(2) Any other location that is held out to the general public as a location at which the investment adviser provides investment advisory services, solicits, meets with, or otherwise communicates with clients.
(b) Principal office and place of business. “Principal office and place of business” of an investment adviser means the executive office of the investment adviser from which the officers, partners, or managers of the investment adviser direct, control, and coordinate the activities of the investment adviser.
[62 FR 28135, May 22, 1997, as amended at 76 FR 43014, July 19, 2011]

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
      GPO FDSys XML | Text
      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.

  • 2015-07-01; 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
      GPO FDSys XML | Text
      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