17 CFR Part 275 - RULES AND REGULATIONS, INVESTMENT ADVISERS ACT OF 1940

  1. § 275.0-2 General procedures for serving non-residents.
  2. § 275.0-3 References to rules and regulations.
  3. § 275.0-4 General requirements of papers and applications.
  4. § 275.0-5 Procedure with respect to applications and other matters.
  5. § 275.0-6 Incorporation by reference in applications.
  6. § 275.0-7 Small entities under the Investment Advisers Act for purposes of the Regulatory Flexibility Act.
  7. § 275.202(a)(1)-1 Certain transactions not deemed assignments.
  8. § 275.202(a)(11)(G)-1 Family offices.
  9. § 275.202(a)(30)-1 Foreign private advisers.
  10. § 275.203-1 Application for investment adviser registration.
  11. § 275.203-2 Withdrawal from investment adviser registration.
  12. § 275.203-3 Hardship exemptions.
  13. § 275.203(l)-1 Venture capital fund defined.
  14. § 275.203(m)-1 Private fund adviser exemption.
  15. § 275.203A-1 Eligibility for SEC registration; Switching to or from SEC registration.
  16. § 275.203A-2 Exemptions from prohibition on Commission registration.
  17. § 275.203A-3 Definitions.
  18. §§ 275.203A-4--275.203A-6 [Reserved]
  19. § 275.204-1 Amendments to Form ADV.
  20. § 275.204-2 Books and records to be maintained by investment advisers.
  21. § 275.204-3 Delivery of brochures and brochure supplements.
  22. § 275.204-4 Reporting by exempt reporting advisers.
  23. § 275.204(b)-1 Reporting by investment advisers to private funds.
  24. § 275.204-5 Delivery of Form CRS.
  25. § 275.204A-1 Investment adviser codes of ethics.
  26. § 275.205-1 Definition of “investment performance” of an investment company and “investment record” of an appropriate index of securities prices.
  27. § 275.205-2 Definition of “specified period” over which the asset value of the company or fund under management is averaged.
  28. § 275.205-3 Exemption from the compensation prohibition of section 205(a)(1) for investment advisers.
  29. § 275.206(3)-1 Exemption of investment advisers registered as broker-dealers in connection with the provision of certain investment advisory services.
  30. § 275.206(3)-2 Agency cross transactions for advisory clients.
  31. § 275.206(4)-1 Advertisements by investment advisers.
  32. § 275.206(4)-2 Custody of funds or securities of clients by investment advisers.
  33. § 275.206(4)-3 Cash payments for client solicitations.
  34. § 275.206(4)-4 [Reserved]
  35. § 275.206(4)-5 Political contributions by certain investment advisers.
  36. § 275.206(4)-6 Proxy voting.
  37. § 275.206(4)-7 Compliance procedures and practices.
  38. § 275.206(4)-8 Pooled investment vehicles.
  39. § 275.222-1 Definitions.
  40. § 275.222-2 Definition of “client” for purposes of the national de minimis standard.
Authority:
15 U.S.C. 80b-2(a)(11)(G), 80b-2(a)(11)(H), 80b-2(a)(17), 80b-3, 80b-4, 80b-4a, 80b-6(4), 80b-6a, and 80b-11, unless otherwise noted.

Section 275.203A-1 is also issued under 15 U.S.C. 80b-3a.

Section 275.203A-2 is also issued under 15 U.S.C. 80b-3a.

Section 275.203A-3 is also issued under 15 U.S.C. 80b-3a.

Section 275.204-1 is also issued under sec. 407 and 408, Pub. L. 111-203, 124 Stat. 1376.

Section 275.204-2 is also issued under 15 U.S.C. 80b-6.

Section 275.205-3 is also issued under 15 U.S.C. 80b-5(e).

Section 275.204-4 is also issued under sec. 407 and 408, Pub. L. 111-203, 124 Stat. 1376.

Section 275.204-5 is also issued under sec. 913, Public Law 111-203, sec. 124 Stat. 1827-28 (2010).

Section 275.211h-1 is also issued under sec. 913, Public Law 111-203, sec. 124 Stat. 1827-28 (2010).

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