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Home Page > Executive Branch > Code of Federal Regulations > Electronic Code of Federal Regulations

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e-CFR Data is current as of February 4, 2010

TITLE 17--Commodity and Securities Exchanges

CHAPTER II--SECURITIES AND EXCHANGE COMMISSION

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)-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.
§§275.203a-5--275.203a-6
[Reserved]
§275.204-1
Amendments to application for registration.
§275.204-2
Books and records to be maintained by investment advisers.
§275.204-3
Written disclosure statements.
§275.204a-1
Investment adviser codes of ethics.
§§275.204-4--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
Financial and disciplinary information that investment advisers must disclose to clients.
§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.
rule

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