Code of Federal Regulations · Part
Part 270 — Rules And Regulations, Investment Company Act Of 1940
17 C.F.R. pt. 270
- § 270.0-1 -1 Definition Of Terms Used In This Part
- § 270.0-10 -10 Small Entities Under The Investment Company Act For Purposes Of The Regulatory Flexibility Act
- § 270.0-11 -11 Customer Identification Programs
- § 270.0-2 -2 General Requirements Of Papers And Applications
- § 270.0-3 -3 Amendments To Registration Statements And Reports
- § 270.0-4 -4 Incorporation By Reference
- § 270.0-5 -5 Procedure With Respect To Applications And Other Matters
- § 270.0-8 -8 Payment Of Filing Fees
- § 270.0-9 -9 [reserved]
- § 270.10b-1 b-1 Definition Of Regular Broker Or Dealer
- § 270.10e-1 e-1 Death, Disqualification, Or Bona Fide Resignation Of Directors
- § 270.10f-1 f-1 Conditional Exemption Of Certain Underwriting Transactions
- § 270.10f-2 f-2 Exercise Of Warrants Or Rights Received On Portfolio Securities
- § 270.10f-3 f-3 Exemption For The Acquisition Of Securities During The Existence Of An Underwriting Or Selling Syndicate
- § 270.11a-1 a-1 Definition Of “exchange” For Purposes Of Section 11 Of The Act
- § 270.11a-2 a-2 Offers Of Exchange By Certain Registered Separate Accounts Or Others The Terms Of Which Do Not Require Prior Commission Approval
- § 270.11a-3 a-3 Offers Of Exchange By Open-end Investment Companies Other Than Separate Accounts
- § 270.12b-1 b-1 Distribution Of Shares By Registered Open-end Management Investment Company
- § 270.12d1-1 d1-1 Exemptions For Investments In Money Market Funds
- § 270.12d1-2 d1-2 [reserved]
- § 270.12d1-3 d1-3 Exemptions For Investment Companies Relying On Section 12(d)(1)(f) Of The Act
- § 270.12d1-4 d1-4 Exemptions For Investments In Certain Investment Companies
- § 270.12d2-1 d2-1 Definition Of Insurance Company For Purposes Of Sections 12(d)(2) And 12(g) Of The Act
- § 270.12d3-1 d3-1 Exemption Of Acquisitions Of Securities Issued By Persons Engaged In Securities Related Businesses
- § 270.13a-1 a-1 Exemption For Change Of Status By Temporarily Diversified Company
- § 270.14a-1 a-1 Use Of Notification Pursuant To Regulation E Under The Securities Act Of 1933
- § 270.14a-2 a-2 Exemption From Section 14(a) Of The Act For Certain Registered Separate Accounts And Their Principal Underwriters
- § 270.14a-3 a-3 Exemption From Section 14(a) Of The Act For Certain Registered Unit Investment Trusts And Their Principal Underwriters
- § 270.15a-1 a-1 Exemption From Stockholders' Approval Of Certain Small Investment Advisory Contracts
- § 270.15a-2 a-2 Annual Continuance Of Contracts
- § 270.15a-3 a-3 Exemption For Initial Period Of Investment Adviser Of Certain Registered Separate Accounts From Requirement Of Security Holder Approval Of Investment Advisory Contract
- § 270.15a-4 a-4 Temporary Exemption For Certain Investment Advisers
- § 270.16a-1 a-1 Exemption For Initial Period Of Directors Of Certain Registered Accounts From Requirements Of Election By Security Holders
- § 270.17a-1 a-1 Exemption Of Certain Underwriting Transactions Exempted By § 270.10f-1
- § 270.17a-10 a-10 Exemption For Transactions With Certain Subadvisory Affiliates
- § 270.17a-2 a-2 Exemption Of Certain Purchase, Sale, Or Borrowing Transactions
- § 270.17a-3 a-3 Exemption Of Transactions With Fully Owned Subsidiaries
- § 270.17a-4 a-4 Exemption Of Transactions Pursuant To Certain Contracts
- § 270.17a-5 a-5 Pro Rata Distribution Neither “sale” Nor “purchase.”
- § 270.17a-6 a-6 Exemption For Transactions With Portfolio Affiliates
- § 270.17a-7 a-7 Exemption Of Certain Purchase Or Sale Transactions Between An Investment Company And Certain Affiliated Persons Thereof
- § 270.17a-8 a-8 Mergers Of Affiliated Companies
- § 270.17a-9 a-9 Purchase Of Certain Securities From A Money Market Fund By An Affiliate, Or An Affiliate Of An Affiliate
- § 270.17d-1 d-1 Applications Regarding Joint Enterprises Or Arrangements And Certain Profit-sharing Plans
- § 270.17d-2 d-2 Form For Report By Small Business Investment Company And Affiliated Bank
- § 270.17d-3 d-3 Exemption Relating To Certain Joint Enterprises Or Arrangements Concerning Payment For Distribution Of Shares Of A Registered Open-end Management Investment Company
- § 270.17e-1 e-1 Brokerage Transactions On A Securities Exchange
- § 270.17f-1 f-1 Custody Of Securities With Members Of National Securities Exchanges
- § 270.17f-2 f-2 Custody Of Investments By Registered Management Investment Company
- § 270.17f-3 f-3 Free Cash Accounts For Investment Companies With Bank Custodians
- § 270.17f-4 f-4 Custody Of Investment Company Assets With A Securities Depository
- § 270.17f-5 f-5 Custody Of Investment Company Assets Outside The United States
- § 270.17f-6 f-6 Custody Of Investment Company Assets With Futures Commission Merchants And Commodity Clearing Organizations
- § 270.17f-7 f-7 Custody Of Investment Company Assets With A Foreign Securities Depository
- § 270.17g-1 g-1 Bonding Of Officers And Employees Of Registered Management Investment Companies
- § 270.17j-1 j-1 Personal Investment Activities Of Investment Company Personnel
- § 270.18c-1 c-1 Exemption Of Privately Held Indebtedness
- § 270.18c-2 c-2 Exemptions Of Certain Debentures Issued By Small Business Investment Companies
- § 270.18f-1 f-1 Exemption From Certain Requirements Of Section 18(f)(1) (of The Act) For Registered Open-end Investment Companies Which Have The Right To Redeem In Kind
- § 270.18f-2 f-2 Fair And Equitable Treatment For Holders Of Each Class Or Series Of Stock Of Series Investment Companies
- § 270.18f-3 f-3 Multiple Class Companies
- § 270.18f-4 f-4 Exemption From The Requirements Of Section 18 And Section 61 For Certain Senior Securities Transactions
- § 270.19a-1 a-1 Written Statement To Accompany Dividend Payments By Management Companies
- § 270.19b-1 b-1 Frequency Of Distribution Of Capital Gains
- § 270.20a-1 a-1 Solicitation Of Proxies, Consents And Authorizations
- § 270.20a-2 - 270.20a-4 §§ 270.20a-2-270.20a-4 [reserved]
- § 270.22c-1 c-1 Pricing Of Redeemable Securities For Distribution, Redemption And Repurchase
- § 270.22c-2 c-2 Redemption Fees For Redeemable Securities
- § 270.22d-1 d-1 Exemption From Section 22(d) To Permit Sales Of Redeemable Securities At Prices Which Reflect Sales Loads Set Pursuant To A Schedule
- § 270.22d-2 d-2 Exemption From Section 22(d) For Certain Registered Separate Accounts
- § 270.22e-1 e-1 Exemption From Section 22(e) Of The Act During Annuity Payment Period Of Variable Annuity Contracts Participating In Certain Registered Separate Accounts
- § 270.22e-2 e-2 Pricing Of Redemption Requests In Accordance With Rule 22c-1
- § 270.22e-3 e-3 Exemption For Liquidation Of Money Market Funds
- § 270.22e-4 e-4 Liquidity Risk Management Programs
- § 270.23c-1 c-1 Repurchase Of Securities By Closed-end Companies
- § 270.23c-2 c-2 Call And Redemption Of Securities Issued By Registered Closed-end Companies
- § 270.23c-3 c-3 Repurchase Offers By Closed-end Companies
- § 270.24b-1 b-1 Definitions
- § 270.24b-2 b-2 Filing Copies Of Sales Literature
- § 270.24b-3 b-3 Sales Literature Deemed Filed
- § 270.24b-4 b-4 Filing Copies Of Covered Investment Fund Research Reports
- § 270.24e-1 e-1 Filing Of Certain Prospectuses As Post-effective Amendments To Registration Statements Under The Securities Act Of 1933
- § 270.24f-2 f-2 Registration Under The Securities Act Of 1933 Of Certain Investment Company Securities
- § 270.26a-1 a-1 Payment Of Administrative Fees To The Depositor Or Principal Underwriter Of A Unit Investment Trust; Exemptive Relief For Separate Accounts
- § 270.27c-1 c-1 [reserved]
- § 270.27d-1 d-1 Reserve Requirements For Principal Underwriters And Depositors To Carry Out The Obligations To Refund Charges Required By Section 27(d) And Section 27(f) Of The Act
- § 270.27d-2 d-2 [reserved]
- § 270.27e-1 e-1 [reserved]
- § 270.27f-1 f-1 [reserved]
- § 270.27g-1 g-1 [reserved]
- § 270.27h-1 h-1 [reserved]
- § 270.27i-1 i-1 Exemption From Section 27(i)(2)(a) Of The Act During Annuity Payment Period Of Variable Annuity Contracts Participating In Certain Registered Separate Accounts
- § 270.28b-1 b-1 Investment In Loans Partially Or Wholly Guaranteed Under The Servicemen's Readjustment Act Of 1944, As Amended
- § 270.2a-1 a-1 Valuation Of Portfolio Securities In Special Cases
- § 270.2a-2 a-2 Effect Of Eliminations Upon Valuation Of Portfolio Securities
- § 270.2a-4 a-4 Definition Of “current Net Asset Value” For Use In Computing Periodically The Current Price Of Redeemable Security
- § 270.2a-46 a-46 Certain Issuers As Eligible Portfolio Companies
- § 270.2a-5 a-5 Fair Value Determination And Readily Available Market Quotations
- § 270.2a-6 a-6 Certain Transactions Not Deemed Assignments
- § 270.2a-7 a-7 Money Market Funds
- § 270.2a19-2 a19-2 Investment Company General Partners Not Deemed Interested Persons
- § 270.2a19-3 a19-3 Certain Investment Company Directors Not Considered Interested Persons Because Of Ownership Of Index Fund Securities
- § 270.2a3-1 a3-1 Investment Company Limited Partners Not Deemed Affiliated Persons
- § 270.2a41-1 a41-1 Valuation Of Standby Commitments By Registered Investment Companies
- § 270.2a51-1 a51-1 Definition Of Investments For Purposes Of Section 2(a)(51) (definition Of “qualified Purchaser”); Certain Calculations
- § 270.2a51-2 a51-2 Definitions Of Beneficial Owner For Certain Purposes Under Sections 2(a)(51) And 3(c)(7) And Determining Indirect Ownership Interests
- § 270.2a51-3 a51-3 Certain Companies As Qualified Purchasers
- § 270.30a-1 a-1 Annual Report For Registered Investment Companies
- § 270.30a-2 a-2 Certification Of Form N-csr
- § 270.30a-3 a-3 Controls And Procedures
- § 270.30a-4 a-4 Annual Report For Wholly-owned Registered Management Investment Company Subsidiary Of Registered Management Investment Company
- § 270.30b1-1 - 270.b1-3 §§ 270.30b1-1-270.b1-3 [reserved]
- § 270.30b1-10 b1-10 Current Report For Open-end And Closed-end Management Investment Companies
- § 270.30b1-4 b1-4 Report Of Proxy Voting Record
- § 270.30b1-5 b1-5 [reserved]
- § 270.30b1-7 b1-7 Monthly Report For Money Market Funds
- § 270.30b1-8 b1-8 Current Report For Money Market Funds
- § 270.30b1-9 b1-9 Monthly Report
- § 270.30b1-9(T) b1-9(t) Temporary Rule Regarding Monthly Report
- § 270.30b2-1 b2-1 Filing Of Reports To Stockholders
- § 270.30d-1 d-1 Filing Of Copies Of Reports To Shareholders
- § 270.30e-1 e-1 Reports To Stockholders Of Management Companies
- § 270.30e-2 e-2 Reports To Shareholders Of Unit Investment Trusts
- § 270.30e-3 e-3 Internet Availability Of Reports To Shareholders
- § 270.30h-1 h-1 Applicability Of Section 16 Of The Exchange Act To Section 30(h)
- § 270.31a-1 a-1 Records To Be Maintained By Registered Investment Companies, Certain Majority-owned Subsidiaries Thereof, And Other Persons Having Transactions With Registered Investment Companies
- § 270.31a-2 a-2 Records To Be Preserved By Registered Investment Companies, Certain Majority-owned Subsidiaries Thereof, And Other Persons Having Transactions With Registered Investment Companies
- § 270.31a-3 a-3 Records Prepared Or Maintained By Other Than Person Required To Maintain And Preserve Them
- § 270.31a-4 a-4 Records To Be Maintained And Preserved By Registered Investment Companies Relating To Fair Value Determinations
- § 270.32a-1 a-1 Exemption Of Certain Companies From Affiliation Provisions Of Section 32(a)
- § 270.32a-2 a-2 Exemption For Initial Period From Vote Of Security Holders On Independent Public Accountant For Certain Registered Separate Accounts
- § 270.32a-3 a-3 Exemption From Provision Of Section 32(a)(1) Regarding The Time Period During Which A Registered Management Investment Company Must Select An Independent Public Accountant
- § 270.32a-4 a-4 Independent Audit Committees
- § 270.34b-1 b-1 Sales Literature Deemed To Be Misleading
- § 270.35d-1 d-1 Investment Company Names
- § 270.38a-1 a-1 Compliance Procedures And Practices Of Certain Investment Companies
- § 270.3a-1 a-1 Certain Prima Facie Investment Companies
- § 270.3a-2 a-2 Transient Investment Companies
- § 270.3a-3 a-3 Certain Investment Companies Owned By Companies Which Are Not Investment Companies
- § 270.3a-4 a-4 Status Of Investment Advisory Programs
- § 270.3a-5 a-5 Exemption For Subsidiaries Organized To Finance The Operations Of Domestic Or Foreign Companies
- § 270.3a-6 a-6 Foreign Banks And Foreign Insurance Companies
- § 270.3a-7 a-7 Issuers Of Asset-backed Securities
- § 270.3a-8 a-8 Certain Research And Development Companies
- § 270.3a-9 a-9 Crowdfunding Vehicle
- § 270.3c-1 c-1 Definition Of Beneficial Ownership For Certain 3(c)(1) Funds
- § 270.3c-2 c-2 Definition Of Beneficial Ownership In Small Business Investment Companies
- § 270.3c-3 c-3 Definition Of Certain Terms Used In Section 3(c)(1) Of The Act With Respect To Certain Debt Securities Offered By Small Business Investment Companies
- § 270.3c-4 c-4 Definition Of “common Trust Fund” As Used In Section 3(c)(3) Of The Act
- § 270.3c-5 c-5 Beneficial Ownership By Knowledgeable Employees And Certain Other Persons
- § 270.3c-6 c-6 Certain Transfers Of Interests In Section 3(c)(1) And Section 3(c)(7) Funds
- § 270.3c-7 c-7 Inflation-adjusted Definition Of Qualifying Venture Capital Fund
- § 270.45a-1 a-1 Confidential Treatment Of Names And Addresses Of Dealers Of Registered Investment Company Securities
- § 270.55a-1 a-1 Investment Activities Of Business Development Companies
- § 270.57b-1 b-1 Exemption For Downstream Affiliates Of Business Development Companies
- § 270.5b-1 b-1 Definition Of “total Assets.”
- § 270.5b-2 b-2 Exclusion Of Certain Guarantees As Securities Of The Guarantor
- § 270.5b-3 b-3 Acquisition Of Repurchase Agreement Or Refunded Security Treated As Acquisition Of Underlying Securities
- § 270.60a-1 a-1 Exemption For Certain Business Development Companies
- § 270.6a-5 a-5 Purchase Of Certain Debt Securities By Companies Relying On Section 6(a)(5) Of The Act
- § 270.6b-1 b-1 Exemption Of Employees' Securities Company Pending Determination Of Application
- § 270.6c-10 c-10 Exemption For Certain Open-end Management Investment Companies To Impose Deferred Sales Loads
- § 270.6c-11 c-11 Exchange-traded Funds
- § 270.6c-3 c-3 Exemptions For Certain Registered Variable Life Insurance Separate Accounts
- § 270.6c-6 c-6 Exemption For Certain Registered Separate Accounts And Other Persons
- § 270.6c-7 c-7 Exemptions From Certain Provisions Of Sections 22(e) And 27 For Registered Separate Accounts Offering Variable Annuity Contracts To Participants In The Texas Optional Retirement Program
- § 270.6c-8 c-8 Exemptions For Registered Separate Accounts To Impose A Deferred Sales Load And To Deduct Certain Administrative Charges
- § 270.6d-1 d-1 Exemption For Certain Closed-end Investment Companies
- § 270.6e-2 e-2 Exemptions For Certain Variable Life Insurance Separate Accounts
- § 270.6e-3 e-3 Exemptions For Flexible Premium Variable Life Insurance Separate Accounts
- § 270.7d-1 d-1 Specification Of Conditions And Arrangements For Canadian Management Investment Companies Requesting Order Permitting Registration
- § 270.7d-2 d-2 Definition Of “public Offering” As Used In Section 7(d) Of The Act With Respect To Certain Canadian Tax-deferred Retirement Savings Accounts
- § 270.8b-1 b-1 Scope Of §§ 270.8b-1 Through 270.8b-31
- § 270.8b-10 b-10 Requirements As To Proper Form
- § 270.8b-11 b-11 Number Of Copies; Signatures; Binding
- § 270.8b-12 b-12 Requirements As To Paper, Printing And Language
- § 270.8b-13 b-13 Preparation Of Registration Statement Or Report
- § 270.8b-14 b-14 Riders; Inserts
- § 270.8b-15 b-15 Amendments
- § 270.8b-16 b-16 Amendments To Registration Statement
- § 270.8b-2 b-2 Definitions
- § 270.8b-20 b-20 Additional Information
- § 270.8b-21 b-21 Information Unknown Or Not Available
- § 270.8b-22 b-22 Disclaimer Of Control
- § 270.8b-23 - 270.8b-24 §§ 270.8b-23-270.8b-24 [reserved]
- § 270.8b-25 b-25 Extension Of Time For Furnishing Information
- § 270.8b-3 b-3 Title Of Securities
- § 270.8b-30 b-30 Additional Exhibits
- § 270.8b-31 b-31 Omission Of Substantially Identical Documents
- § 270.8b-32 b-32 [reserved]
- § 270.8b-4 b-4 Interpretation Of Requirements
- § 270.8b-5 b-5 Time Of Filing Original Registration Statement
- § 270.8b-6 b-6 [reserved]
- § 270.8f-1 f-1 Deregistration Of Certain Registered Investment Companies