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The Code of Federal Regulations (CFR) annual edition is the codification of the general and permanent rules published in the Federal Register by the departments and agencies of the Federal Government produced by the Office of the Federal Register (OFR) and the Government Publishing Office.

Parallel Table of Authorities and Rules for the Code of Federal Regulations and the United States Code
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Electronic Code of Federal Regulations

Electronic Code of Federal Regulations

e-CFR data is current as of November 24, 2015

Title 17Chapter IIPart 275

TITLE 17—Commodity and Securities Exchanges



General procedures for serving non-residents.
References to rules and regulations.
General requirements of papers and applications.
Procedure with respect to applications and other matters.
Incorporation by reference in applications.
Small entities under the Investment Advisers Act for purposes of the Regulatory Flexibility Act.
Certain transactions not deemed assignments.
Family offices.
Foreign private advisers.
Application for investment adviser registration.
Withdrawal from investment adviser registration.
Hardship exemptions.
Venture capital fund defined.
Private fund adviser exemption.
Eligibility for SEC registration; Switching to or from SEC registration.
Exemptions from prohibition on Commission registration.
Transition rules.
Amendments to Form ADV.
Books and records to be maintained by investment advisers.
Delivery of brochures and brochure supplements.
Reporting by exempt reporting advisers.
Reporting by investment advisers to private funds.
Investment adviser codes of ethics.
Definition of “investment performance” of an investment company and “investment record” of an appropriate index of securities prices.
Definition of “specified period” over which the asset value of the company or fund under management is averaged.
Exemption from the compensation prohibition of section 205(a)(1) for investment advisers.
Exemption of investment advisers registered as broker-dealers in connection with the provision of certain investment advisory services.
Agency cross transactions for advisory clients.
Temporary rule for principal trades with certain advisory clients.
Advertisements by investment advisers.
Custody of funds or securities of clients by investment advisers.
Cash payments for client solicitations.
Political contributions by certain investment advisers.
Proxy voting.
Compliance procedures and practices.
Pooled investment vehicles.
Definition of “client” for purposes of the national de minimis standard.

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