17 CFR Part 276
INTERPRETATIVE RELEASES RELATING TO THE INVESTMENT ADVISERS ACT OF 1940 AND GENERAL RULES AND REGULATIONS THEREUNDER
April 15, 2021
PART 276—INTERPRETATIVE RELEASES RELATING TO THE INVESTMENT ADVISERS ACT OF 1940 AND GENERAL RULES AND REGULATIONS THEREUNDER
Authority: 15 U.S.C. 80b et seq.
Open Table
| Subject | Release No. | Date | Fed. Reg. Vol. and Page |
|---|---|---|---|
| Opinion of General Counsel relating to section 202(a)(11)(C) of the Investment Advisers Act of 1940 | 2 | Oct. 28, 1940 | 11 FR 10996. |
| Opinion of the General Counsel relating to the use of the name “investment counsel” under section 208(c) of the Investment Advisers Act of 1940 | 8 | Dec. 12, 1940 | Do. |
| Opinion of Director of Trading and Exchange Division, relating to section 206 of the Investment Advisers Act of 1940, section 17(a) of the Securities Act of 1933, and sections 10(b) and 15(c)(1) of the Securities Exchange Act of 1934 | 40 | Feb. 5, 1945 | 11 FR 10997. |
| Opinion of the General Counsel relating to the use of “hedge clauses” by brokers, dealers, investment advisers, and others | 58 | Apr. 10, 1951 | 16 FR 3387. |
| Statement of the Commission to clarify the meaning of “beneficial ownership of securities” as relates to beneficial ownership of securities held by family members | 194 | Jan. 25, 1966 | 31 FR 1005. |
| Statement of the Commission setting the date of May 1, 1966 after which filings must reflect beneficial ownership of securities held by family members | 196 | Feb. 14, 1966 | 31 FR 3175. |
| Statement of the Commission describing nature of examination required to be made of all funds and securities held by an investment adviser and the content of related accountant's certificate | 201 | June 1, 1966 | 31 FR 7821. |
| Publication of the Commission's procedure to be followed if requests are to be met for no action or interpretative letters and responses thereto to be made available for public use | 281 | Jan. 25, 1971 | 36 FR 2600. |
| Commission's statement of factors to be considered in connection with investment company advisory contracts containing incentive arrangements | 315 | Apr. 19, 1972 | 37 FR 7690. |
| Applicability of Commission's policy statement on the future structure of securities markets to selection of brokers and payment of commissions by institutional managers | 318 | May 18, 1972 | 37 FR 9988. |
| Commission's decisions on advisory committee recommendations regarding commencement of enforcement proceedings and termination of staff investigations | 336 | Mar. 1, 1973 | 38 FR 5457. |
| Commission's statement on obligations of underwriters with respect to discretionary accounts | 377 | June 29, 1973 | 38 FR 17201. |
| Applicability of investment advisers act to certain publications | 563 | Jan. 10, 1977 | 42 FR 2953; 42 FR 8140. |
| Contingent advisory compensation arrangements | 721 | May 16, 1980 | 45 FR 34876. |
| Applicability of investment advisers act to financial planners, pension consultants, and other persons who provide investment advisory services as an integral component of other financially related services | 770 | Aug. 13, 1981 | 46 FR 41771. |
| Statement of position of Commission's Division of Investment Management | 969 | Apr. 30, 1985 | 50 FR 19341. |
| Statement of staff interpretive position regarding certain rules and forms; uniform registration, disclolsure, and reporting requirements | 1000 | Dec. 3, 1985 | 50 FR 49835. |
| Applicability of the investment Advisers Act to financial planners, pension consultants, and other persons who provide investment advisory services as a component of other financial services | 1092 | Oct. 8, 1987 | 52 FR 38400. |
| Registration of Successors to Broker-Dealers and Investment Advisors | 1357 | Jan. 4, 1993 | 58 FR 11. |
| Use of electronic media for delivery purposes | 1562 | May 9, 1996 | 61 FR 24651. |
| Statement of the Commission Regarding Use of Internet Web Sites to Offer Securities, Solicit Securities Transactions or Advertise Investment Services Offshore | 1710 | Mar. 23, 1998 | 63 FR 14814 |
| Interpretation of Section 206(3) of the Investment Advisers Act of 1940 | 1732 | July 17, 1998 | 63 FR 39508 |
| Statement of the Commission Regarding Disclosure of Year 2000 Issues and Consequences by Public Companies, Investment Advisers, Investment Companies, and Municipal Securities Issuers | 1738 | July 29, 1998 | 63 FR 41404 |
| Release No. IA-2969 | Dec. 30, 2009 | 75 FR 1494 | |
| Commission Guidance Regarding the Definition of the Terms “Spouse” and “Marriage” Following the Supreme Court's Decision in United States v. Windsor | IA-4122 | June 19, 2015 | 80 FR 37537 |
| Commission Interpretation Regarding Standard of Conduct for Investment Advisers | IA-5248 | June 5, 2019 | 84 FR 33681 |
| Commission Interpretation Regarding the Solely Incidental Prong of the Broker-Dealer Exclusion from the Definition of Investment Adviser | IA-5249 | June 5, 2019 | 84 FR 33689 |
| Commission Guidance Regarding the Proxy Voting Responsibilities of Investment Advisers | IA-5325 | Aug. 21, 2019 | 84 FR 47427 |
| Supplement to Commission Guidance Regarding the Proxy Voting Responsibilities of Investment Advisers | IA-5547 | Sept. 3, 2020 | 85 FR 55157 |
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