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Electronic Code of Federal Regulations

blue pill

e-CFR Data is current as of April 23, 2014

TITLE 17—Commodity and Securities Exchanges

CHAPTER II—SECURITIES AND EXCHANGE COMMISSION (CONTINUED)

PART 275—RULES AND REGULATIONS, INVESTMENT ADVISERS ACT OF 1940

rule
§275.0-2
General procedures for serving non-residents.
§275.0-3
References to rules and regulations.
§275.0-4
General requirements of papers and applications.
§275.0-5
Procedure with respect to applications and other matters.
§275.0-6
Incorporation by reference in applications.
§275.0-7
Small entities under the Investment Advisers Act for purposes of the Regulatory Flexibility Act.
§275.202(a)(1)-1
Certain transactions not deemed assignments.
§275.202(a)(11)(G)-1
Family offices.
§275.202(a)(30)-1
Foreign private advisers.
§275.203-1
Application for investment adviser registration.
§275.203-2
Withdrawal from investment adviser registration.
§275.203-3
Hardship exemptions.
§275.203(l)-1
Venture capital fund defined.
§275.203(m)-1
Private fund adviser exemption.
§275.203A-1
Eligibility for SEC registration; Switching to or from SEC registration.
§275.203A-2
Exemptions from prohibition on Commission registration.
§275.203A-3
Definitions.
§275.203A-4
[Reserved]
§275.203A-5
Transition rules.
§275.203A-6
[Reserved]
§275.204-1
Amendments to Form ADV.
§275.204-2
Books and records to be maintained by investment advisers.
§275.204-3
Delivery of brochures and brochure supplements.
§275.204-4
Reporting by exempt reporting advisers.
§275.204(b)-1
Reporting by investment advisers to private funds.
§275.204A-1
Investment adviser codes of ethics.
§275.204-5
[Reserved]
§275.205-1
Definition of “investment performance” of an investment company and “investment record” of an appropriate index of securities prices.
§275.205-2
Definition of “specified period” over which the asset value of the company or fund under management is averaged.
§275.205-3
Exemption from the compensation prohibition of section 205(a)(1) for investment advisers.
§275.206(3)-1
Exemption of investment advisers registered as broker-dealers in connection with the provision of certain investment advisory services.
§275.206(3)-3T
Temporary rule for principal trades with certain advisory clients.
§275.206(3)-2
Agency cross transactions for advisory clients.
§275.206(4)-1
Advertisements by investment advisers.
§275.206(4)-2
Custody of funds or securities of clients by investment advisers.
§275.206(4)-3
Cash payments for client solicitations.
§275.206(4)-4
[Reserved]
§275.206(4)-5
Political contributions by certain investment advisers.
§275.206(4)-6
Proxy voting.
§275.206(4)-7
Compliance procedures and practices.
§275.206(4)-8
Pooled investment vehicles.
§275.222-1
Definitions.
§275.222-2
Definition of “client” for purposes of the national de minimis standard.


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