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Title 17

Displaying title 17, up to date as of 9/17/2021. Title 17 was last amended 9/01/2021.
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Title 17 Commodity and Securities Exchanges Part / Section
Chapter II Securities and Exchange Commission 200 – 399
Part 275 Rules and Regulations, Investment Advisers Act of 1940 275.0-2 – 275.222-2
§ 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-4-275.203A-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.
§ 275.204-5 Delivery of Form CRS.
§ 275.204(b)-1 Reporting by investment advisers to private funds.
§ 275.204A-1 Investment adviser codes of ethics.
§ 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)-2 Agency cross transactions for advisory clients.
§ 275.206(4)-1 Investment adviser marketing.
§ 275.206(4)-2 Custody of funds or securities of clients by investment advisers.
§§ 275.206(4)-(3)-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.