17 CFR Part 275
RULES AND REGULATIONS, INVESTMENT ADVISERS ACT OF 1940
April 15, 2021
§
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
§
275.204-2
[Amendment] 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
Advertisements by investment advisers
§
275.206(4)-1
[Amendment] Investment Adviser Marketing
§
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
[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
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