17 C.F.R. Part 275 – Rules and Regulations, Investment Advisers Act of 1940 | Midpage

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Code of Federal Regulations

Part 275

17 C.F.R. Part 275

Rules and Regulations, Investment Advisers Act of 1940

275.0-2General procedures for serving non-residents.275.0-3References to rules and regulations.275.0-4General requirements of papers and applications.275.0-5Procedure with respect to applications and other matters.275.0-6Incorporation by reference in applications.275.0-7Small entities under the Investment Advisers Act for purposes of the Regulatory Flexibility Act.275.202(a)(1)-1Certain transactions not deemed assignments.275.202(a)(11)(G)-1Family offices.275.202(a)(30)-1Foreign private advisers.275.203-1Application for investment adviser registration.275.203-2Withdrawal from investment adviser registration.275.203-3Hardship exemptions.275.203(l)-1Venture capital fund defined.275.203(m)-1Private fund adviser exemption.275.203A-1Eligibility for SEC registration; Switching to or from SEC registration.275.203A-2Exemptions from prohibition on Commission registration.275.203A-3Definitions.275.203A-4 - 275.203A-6§§ 275.203A-4-275.203A-6 [Reserved]275.204-1Amendments to Form ADV.275.204-2Books and records to be maintained by investment advisers.275.204-3Delivery of brochures and brochure supplements.275.204-4Reporting by exempt reporting advisers.275.204-5Delivery of Form CRS.275.204(b)-1Reporting by investment advisers to private funds.275.204A-1Investment adviser codes of ethics.275.205-1Definition of “investment performance” of an investment company and “investment record” of an appropriate index of securities prices.275.205-2Definition of “specified period” over which the asset value of the company or fund under management is averaged.275.205-3Exemption from the compensation prohibition of section 205(a)(1) for investment advisers.275.206(3)-1Exemption of investment advisers registered as broker-dealers in connection with the provision of certain investment advisory services.275.206(3)-2Agency cross transactions for advisory clients.275.206(4)-1Investment adviser marketing.275.206(4)-2Custody of funds or securities of clients by investment advisers.275.206(4)-(3) - 275.206(4)-4§§ 275.206(4)-(3)-275.206(4)-4 [Reserved]275.206(4)-5Political contributions by certain investment advisers.275.206(4)-6Proxy voting.275.206(4)-7Compliance procedures and practices.275.206(4)-8Pooled investment vehicles.275.222-1Definitions.275.222-2Definition of “client” for purposes of the national de minimis standard.