17 CFR Part 275 - 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. § 275.204-5 Delivery of Form CRS.
  24. § 275.204(b)-1 Reporting by investment advisers to private funds.
  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 Investment adviser marketing.
  32. § 275.206(4)-2 Custody of funds or securities of clients by investment advisers.
  33. §§ 275.206(4)-(3)--275.206(4)-4 [Reserved]
  34. § 275.206(4)-5 Political contributions by certain investment advisers.
  35. § 275.206(4)-6 Proxy voting.
  36. § 275.206(4)-7 Compliance procedures and practices.
  37. § 275.206(4)-8 Pooled investment vehicles.
  38. § 275.222-1 Definitions.
  39. § 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).

The following state regulations pages link to this page.


Massachusetts