PART 275—RULES AND REGULATIONS, INVESTMENT ADVISERS ACT OF 1940
- 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)-1—Certain broker-dealers.
- 275.203-1—Application for investment adviser registration.
- 275.203-2—Withdrawal from investment adviser registration.
- 275.203-3—Hardship exemptions.
- 275.203(b)(3)-1—Definition of “client” of an investment adviser.
- 275.203(b)(3)-2—Methods for counting clients in certain private funds.
- 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—Investment advisers registered with a State securities commission.
- 275.204-1—Amendments to application for registration.
- 275.204-2—Books and records to be maintained by investment advisers.
- 275.204-3—Delivery of brochures and brochure supplements.
- 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)-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)-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.