17 CFR 279.0-1 - Availability of forms.

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§ 279.0-1 Availability of forms.

(a) This part identifies and describes the forms prescribed for use under the Investment Advisers Act of 1940.

(b) Any person may obtain a copy of any form prescribed for use in this part by written request to the Securities and Exchange Commission, 100 F Street, NE., Washington, DC 20549. Any person may inspect the forms at this address and at the Commission's regional offices. (See § 200.11 of this chapter for the addresses of SEC regional offices.)

[ 46 FR 17757, Mar. 20, 1981, as amended at 47 FR 26820, June 22, 1982; 59 FR 5946, Feb. 9, 1994; 73 FR 32229, June 5, 2008]

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.


United States Code
U.S. Code: Title 15 - COMMERCE AND TRADE

§ 78w - Rules, regulations, and orders; annual reports

15 U.S. Code § 80b–1 - Findings

15 U.S. Code § 80b–2 - Definitions

15 U.S. Code § 80b–3 - Registration of investment advisers

15 U.S. Code § 80b–3a - State and Federal responsibilities

15 U.S. Code § 80b–4 - Reports by investment advisers

15 U.S. Code § 80b–4a - Prevention of misuse of nonpublic information

15 U.S. Code § 80b–5 - Investment advisory contracts

15 U.S. Code § 80b–6 - Prohibited transactions by investment advisers

15 U.S. Code § 80b–6a - Exemptions

15 U.S. Code § 80b–7 - Material misstatements

15 U.S. Code § 80b–8 - General prohibitions

15 U.S. Code § 80b–9 - Enforcement of subchapter

15 U.S. Code § 80b–10 - Disclosure of information by Commission

15 U.S. Code § 80b–10a - Consultation

15 U.S. Code § 80b–11 - Rules, regulations, and orders of Commission

15 U.S. Code § 80b–12 - Hearings

15 U.S. Code § 80b–13 - Court review of orders

15 U.S. Code § 80b–14 - Jurisdiction of offenses and suits

15 U.S. Code § 80b–15 - Validity of contracts

15 U.S. Code § 80b–16 - Omitted

15 U.S. Code § 80b–17 - Penalties

15 U.S. Code § 80b–18 - Hiring and leasing authority of Commission

15 U.S. Code § 80b–18a - State regulation of investment advisers

15 U.S. Code § 80b–18b - Custody of client accounts

15 U.S. Code § 80b–18c - Rule of construction relating to the Commodities Exchange Act

15 U.S. Code § 80b–19 - Separability

15 U.S. Code § 80b–20 - Short title

15 U.S. Code § 80b–21 - Effective date

Title 17 published on 16-Dec-2017 03:45

The following are ALL rules, proposed rules, and notices (chronologically) published in the Federal Register relating to 17 CFR Part 279 after this date.

  • 2017-05-09; vol. 82 # 88 - Tuesday, May 9, 2017
    1. 82 FR 21472 - Technical Amendments to Form ADV and Form ADV-W
      GPO FDSys XML | Text
      SECURITIES AND EXCHANGE COMMISSION
      Final rule; technical amendments.
      Effective July 1, 2017.
      17 CFR Part 279