17 C.F.R. PART 275--RULES AND REGULATIONS, INVESTMENT ADVISERS ACT OF 1940
TITLE 17--Commodity and Securities Exchanges
CHAPTER II--SECURITIES AND EXCHANGE COMMISSION
PART 275--RULES AND REGULATIONS, INVESTMENT ADVISERS ACT OF 1940
|
|
| General procedures for serving non-residents.
|
|
|
|
| References to rules and regulations.
|
|
|
|
| General requirements of papers and applications.
|
|
|
|
| Procedure with respect to applications and other matters.
|
|
|
|
| Incorporation by reference in applications.
|
|
|
|
| Small entities under the Investment Advisers Act for purposes of the Regulatory Flexibility Act.
|
|
|
|
| Certain transactions not deemed assignments.
|
|
|
|
| Application for investment adviser registration.
|
|
|
|
| Withdrawal from investment adviser registration.
|
|
|
|
| Definition of ''client'' of an investment adviser.
|
|
|
|
| Methods for counting clients in certain private funds.
|
|
|
|
| Eligibility for SEC registration; switching to or from SEC registration.
|
|
|
|
| Exemptions from prohibition on Commission registration.
|
|
|
|
| Investment advisers registered with a State securities commission.
|
|
|
|
| Amendments to application for registration.
|
|
|
|
| Books and records to be maintained by investment advisers.
|
|
|
|
| Written disclosure statements.
|
|
|
|
| Investment adviser codes of ethics.
|
|
|
|
| Definition of ''investment performance'' of an investment company and ''investment record'' of an appropriate index of securities prices.
|
|
|
|
| Definition of ''specified period'' over which the asset value of the company or fund under management is averaged.
|
|
|
|
| Exemption from the compensation prohibition of section 205(a)(1) for investment advisers.
|
|
|
|
| Exemption of investment advisers registered as broker-dealers in connection with the provision of certain investment advisory services.
|
|
|
|
| Agency cross transactions for advisory clients.
|
|
|
|
| Advertisements by investment advisers.
|
|
|
|
| Custody of funds or securities of clients by investment advisers.
|
|
|
|
| Cash payments for client solicitations.
|
|
|
|
| Financial and disciplinary information that investment advisers must disclose to clients.
|
|
|
|
| Compliance procedures and practices.
|
|
|
|
| Definition of ''client'' for purposes of the national de minimis standard.
|
|
