17 CFR 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)(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.
- § 275.204-1— 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)-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.