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Title 17

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  1. Title 17 —Commodity and Securities Exchanges
  2. Chapter II —Securities and Exchange Commission
  3. Part 270   View Full Text
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Title 17Commodity and Securities ExchangesPart / Section
Chapter IISecurities and Exchange Commission200 – 399
Part 270Rules and Regulations, Investment Company Act of 1940270.0-1 – 270.60a-1
§ 270.0-1Definition of terms used in this part.
§ 270.0-2General requirements of papers and applications.
§ 270.0-3Amendments to registration statements and reports.
§ 270.0-4Incorporation by reference.
§ 270.0-5Procedure with respect to applications and other matters.
§ 270.0-8Payment of filing fees.
§ 270.0-9 [Reserved]
§ 270.0-10Small entities under the Investment Company Act for purposes of the Regulatory Flexibility Act.
§ 270.0-11Customer identification programs.
§ 270.2a-1Valuation of portfolio securities in special cases.
§ 270.2a-2Effect of eliminations upon valuation of portfolio securities.
§ 270.2a3-1Investment company limited partners not deemed affiliated persons.
§ 270.2a-4Definition of “current net asset value” for use in computing periodically the current price of redeemable security.
§ 270.2a-5Fair value determination and readily available market quotations.
§ 270.2a-6Certain transactions not deemed assignments.
§ 270.2a-7Money market funds.
§ 270.2a19-2Investment company general partners not deemed interested persons.
§ 270.2a19-3Certain investment company directors not considered interested persons because of ownership of index fund securities.
§ 270.2a41-1Valuation of standby commitments by registered investment companies.
§ 270.2a-46Certain issuers as eligible portfolio companies.
§ 270.2a51-1Definition of investments for purposes of section 2(a)(51) (definition of “qualified purchaser”); certain calculations.
§ 270.2a51-2Definitions of beneficial owner for certain purposes under sections 2(a)(51) and 3(c)(7) and determining indirect ownership interests.
§ 270.2a51-3Certain companies as qualified purchasers.
§ 270.3a-1Certain prima facie investment companies.
§ 270.3a-2Transient investment companies.
§ 270.3a-3Certain investment companies owned by companies which are not investment companies.
§ 270.3a-4Status of investment advisory programs.
§ 270.3a-5Exemption for subsidiaries organized to finance the operations of domestic or foreign companies.
§ 270.3a-6Foreign banks and foreign insurance companies.
§ 270.3a-7Issuers of asset-backed securities.
§ 270.3a-8Certain research and development companies.
§ 270.3a-9Crowdfunding vehicle.
§ 270.3c-1Definition of beneficial ownership for certain 3(c)(1) funds.
§ 270.3c-2Definition of beneficial ownership in small business investment companies.
§ 270.3c-3Definition of certain terms used in section 3(c)(1) of the Act with respect to certain debt securities offered by small business investment companies.
§ 270.3c-4Definition of “common trust fund” as used in section 3(c)(3) of the Act.
§ 270.3c-5Beneficial ownership by knowledgeable employees and certain other persons.
§ 270.3c-6Certain transfers of interests in section 3(c)(1) and section 3(c)(7) funds.
§ 270.3c-7Inflation-adjusted definition of qualifying venture capital fund.
§ 270.5b-1Definition of “total assets.”
§ 270.5b-2Exclusion of certain guarantees as securities of the guarantor.
§ 270.5b-3Acquisition of repurchase agreement or refunded security treated as acquisition of underlying securities.
§ 270.6a-5Purchase of certain debt securities by companies relying on section 6(a)(5) of the Act.
§ 270.6b-1Exemption of employees' securities company pending determination of application.
§ 270.6c-3Exemptions for certain registered variable life insurance separate accounts.
§ 270.6c-6Exemption for certain registered separate accounts and other persons.
§ 270.6c-7Exemptions from certain provisions of sections 22(e) and 27 for registered separate accounts offering variable annuity contracts to participants in the Texas Optional Retirement Program.
§ 270.6c-8Exemptions for registered separate accounts to impose a deferred sales load and to deduct certain administrative charges.
§ 270.6c-10Exemption for certain open-end management investment companies to impose deferred sales loads.
§ 270.6c-11Exchange-traded funds.
§ 270.6d-1Exemption for certain closed-end investment companies.
§ 270.6e-2Exemptions for certain variable life insurance separate accounts.
§ 270.6e-3Exemptions for flexible premium variable life insurance separate accounts.
§ 270.7d-1Specification of conditions and arrangements for Canadian management investment companies requesting order permitting registration.
§ 270.7d-2Definition of “public offering” as used in section 7(d) of the Act with respect to certain Canadian tax-deferred retirement savings accounts.
§ 270.8b-1Scope of §§ 270.8b-1 through 270.8b-31.
§ 270.8b-2Definitions.
§ 270.8b-3Title of securities.
§ 270.8b-4Interpretation of requirements.
§ 270.8b-5Time of filing original registration statement.
§ 270.8b-6 [Reserved]
§ 270.8b-10Requirements as to proper form.
§ 270.8b-11Number of copies; signatures; binding.
§ 270.8b-12Requirements as to paper, printing and language.
§ 270.8b-13Preparation of registration statement or report.
§ 270.8b-14Riders; inserts.
§ 270.8b-15Amendments.
§ 270.8b-16Amendments to registration statement.
§ 270.8b-20Additional information.
§ 270.8b-21Information unknown or not available.
§ 270.8b-22Disclaimer of control.
§§ 270.8b-23-270.8b-24 [Reserved]
§ 270.8b-25Extension of time for furnishing information.
§ 270.8b-30Additional exhibits.
§ 270.8b-31Omission of substantially identical documents.
§ 270.8b-32 [Reserved]
§ 270.8f-1Deregistration of certain registered investment companies.
§ 270.10b-1Definition of regular broker or dealer.
§ 270.10e-1Death, disqualification, or bona fide resignation of directors.
§ 270.10f-1Conditional exemption of certain underwriting transactions.
§ 270.10f-2Exercise of warrants or rights received on portfolio securities.
§ 270.10f-3Exemption for the acquisition of securities during the existence of an underwriting or selling syndicate.
§ 270.11a-1Definition of “exchange” for purposes of section 11 of the Act.
§ 270.11a-2Offers of exchange by certain registered separate accounts or others the terms of which do not require prior Commission approval.
§ 270.11a-3Offers of exchange by open-end investment companies other than separate accounts.
§ 270.12b-1Distribution of shares by registered open-end management investment company.
§ 270.12d1-1Exemptions for investments in money market funds.
§ 270.12d1-2 [Reserved]
§ 270.12d1-3Exemptions for investment companies relying on section 12(d)(1)(F) of the Act.
§ 270.12d1-4Exemptions for investments in certain investment companies.
§ 270.12d2-1Definition of insurance company for purposes of sections 12(d)(2) and 12(g) of the Act.
§ 270.12d3-1Exemption of acquisitions of securities issued by persons engaged in securities related businesses.
§ 270.13a-1Exemption for change of status by temporarily diversified company.
§ 270.14a-1Use of notification pursuant to regulation E under the Securities Act of 1933.
§ 270.14a-2Exemption from section 14(a) of the Act for certain registered separate accounts and their principal underwriters.
§ 270.14a-3Exemption from section 14(a) of the Act for certain registered unit investment trusts and their principal underwriters.
§ 270.15a-1Exemption from stockholders' approval of certain small investment advisory contracts.
§ 270.15a-2Annual continuance of contracts.
§ 270.15a-3Exemption for initial period of investment adviser of certain registered separate accounts from requirement of security holder approval of investment advisory contract.
§ 270.15a-4Temporary exemption for certain investment advisers.
§ 270.16a-1Exemption for initial period of directors of certain registered accounts from requirements of election by security holders.
§ 270.17a-1Exemption of certain underwriting transactions exempted by § 270.10f-1.
§ 270.17a-2Exemption of certain purchase, sale, or borrowing transactions.
§ 270.17a-3Exemption of transactions with fully owned subsidiaries.
§ 270.17a-4Exemption of transactions pursuant to certain contracts.
§ 270.17a-5Pro rata distribution neither “sale” nor “purchase.”
§ 270.17a-6Exemption for transactions with portfolio affiliates.
§ 270.17a-7Exemption of certain purchase or sale transactions between an investment company and certain affiliated persons thereof.
§ 270.17a-8Mergers of affiliated companies.
§ 270.17a-9Purchase of certain securities from a money market fund by an affiliate, or an affiliate of an affiliate.
§ 270.17a-10Exemption for transactions with certain subadvisory affiliates.
§ 270.17d-1Applications regarding joint enterprises or arrangements and certain profit-sharing plans.
§ 270.17d-2Form for report by small business investment company and affiliated bank.
§ 270.17d-3Exemption relating to certain joint enterprises or arrangements concerning payment for distribution of shares of a registered open-end management investment company.
§ 270.17e-1Brokerage transactions on a securities exchange.
§ 270.17f-1Custody of securities with members of national securities exchanges.
§ 270.17f-2Custody of investments by registered management investment company.
§ 270.17f-3Free cash accounts for investment companies with bank custodians.
§ 270.17f-4Custody of investment company assets with a securities depository.
§ 270.17f-5Custody of investment company assets outside the United States.
§ 270.17f-6Custody of investment company assets with Futures Commission Merchants and Commodity Clearing Organizations.
§ 270.17f-7Custody of investment company assets with a foreign securities depository.
§ 270.17g-1Bonding of officers and employees of registered management investment companies.
§ 270.17j-1Personal investment activities of investment company personnel.
§ 270.18c-1Exemption of privately held indebtedness.
§ 270.18c-2Exemptions of certain debentures issued by small business investment companies.
§ 270.18f-1Exemption from certain requirements of section 18(f)(1) (of the Act) for registered open-end investment companies which have the right to redeem in kind.
§ 270.18f-2Fair and equitable treatment for holders of each class or series of stock of series investment companies.
§ 270.18f-3Multiple class companies.
§ 270.18f-4Exemption from the requirements of section 18 and section 61 for certain senior securities transactions.
§ 270.19a-1Written statement to accompany dividend payments by management companies.
§ 270.19b-1Frequency of distribution of capital gains.
§ 270.20a-1Solicitation of proxies, consents and authorizations.
§§ 270.20a-2-270.20a-4 [Reserved]
§ 270.22c-1Pricing of redeemable securities for distribution, redemption and repurchase.
§ 270.22c-2Redemption fees for redeemable securities.
§ 270.22d-1Exemption from section 22(d) to permit sales of redeemable securities at prices which reflect sales loads set pursuant to a schedule.
§ 270.22d-2Exemption from section 22(d) for certain registered separate accounts.
§ 270.22e-1Exemption from section 22(e) of the Act during annuity payment period of variable annuity contracts participating in certain registered separate accounts.
§ 270.22e-2Pricing of redemption requests in accordance with Rule 22c-1.
§ 270.22e-3Exemption for liquidation of money market funds.
§ 270.22e-4Liquidity risk management programs.
§ 270.23c-1Repurchase of securities by closed-end companies.
§ 270.23c-2Call and redemption of securities issued by registered closed-end companies.
§ 270.23c-3Repurchase offers by closed-end companies.
§ 270.24b-1Definitions.
§ 270.24b-2Filing copies of sales literature.
§ 270.24b-3Sales literature deemed filed.
§ 270.24b-4Filing copies of covered investment fund research reports.
§ 270.24e-1Filing of certain prospectuses as post-effective amendments to registration statements under the Securities Act of 1933.
§ 270.24f-2Registration under the Securities Act of 1933 of certain investment company securities.
§ 270.26a-1Payment of administrative fees to the depositor or principal underwriter of a unit investment trust; exemptive relief for separate accounts.
§ 270.27c-1 [Reserved]
§ 270.27d-1Reserve requirements for principal underwriters and depositors to carry out the obligations to refund charges required by section 27(d) and section 27(f) of the Act.
§ 270.27d-2 [Reserved]
§ 270.27e-1 [Reserved]
§ 270.27f-1 [Reserved]
§ 270.27g-1 [Reserved]
§ 270.27h-1 [Reserved]
§ 270.27i-1Exemption from Section 27(i)(2)(A) of the Act during annuity payment period of variable annuity contracts participating in certain registered separate accounts.
§ 270.28b-1Investment in loans partially or wholly guaranteed under the Servicemen's Readjustment Act of 1944, as amended.
§ 270.30a-1Annual report for registered investment companies.
§ 270.30a-2Certification of Form N-CSR.
§ 270.30a-3Controls and procedures.
§ 270.30a-4Annual report for wholly-owned registered management investment company subsidiary of registered management investment company.
§§ 270.30b1-1-270.b1-3 [Reserved]
§ 270.30b1-4Report of proxy voting record.
§ 270.30b1-5 [Reserved]
§ 270.30b1-7Monthly report for money market funds.
§ 270.30b1-8Current report for money market funds.
§ 270.30b1-9Monthly report.
§ 270.30b1-10Current report for open-end and closed-end management investment companies.
§ 270.30b2-1Filing of reports to stockholders.
§ 270.30d-1Filing of copies of reports to shareholders.
§ 270.30e-1Reports to stockholders of management companies.
§ 270.30e-2Reports to shareholders of unit investment trusts.
§ 270.30e-3Internet availability of reports to shareholders.
§ 270.30h-1Applicability of section 16 of the Exchange Act to section 30(h).
§ 270.31a-1Records to be maintained by registered investment companies, certain majority-owned subsidiaries thereof, and other persons having transactions with registered investment companies.
§ 270.31a-2Records to be preserved by registered investment companies, certain majority-owned subsidiaries thereof, and other persons having transactions with registered investment companies.
§ 270.31a-3Records prepared or maintained by other than person required to maintain and preserve them.
§ 270.31a-4Records to be maintained and preserved by registered investment companies relating to fair value determinations.
§ 270.32a-1Exemption of certain companies from affiliation provisions of section 32(a).
§ 270.32a-2Exemption for initial period from vote of security holders on independent public accountant for certain registered separate accounts.
§ 270.32a-3Exemption from provision of section 32(a)(1) regarding the time period during which a registered management investment company must select an independent public accountant.
§ 270.32a-4Independent audit committees.
§ 270.34b-1Sales literature deemed to be misleading.
§ 270.35d-1Investment company names.
§ 270.38a-1Compliance procedures and practices of certain investment companies.
§ 270.45a-1Confidential treatment of names and addresses of dealers of registered investment company securities.
§ 270.55a-1Investment activities of business development companies.
§ 270.57b-1Exemption for downstream affiliates of business development companies.
§ 270.60a-1Exemption for certain business development companies.
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