Code of Federal Regulations · Part

Part 275 — Rules And Regulations, Investment Advisers Act Of 1940

17 C.F.R. pt. 275

• § 275.0-2 -2 General Procedures For Serving Non-residents
• § 275.0-3 -3 References To Rules And Regulations
• § 275.0-4 -4 General Requirements Of Papers And Applications
• § 275.0-5 -5 Procedure With Respect To Applications And Other Matters
• § 275.0-6 -6 Incorporation By Reference In Applications
• § 275.0-7 -7 Small Entities Under The Investment Advisers Act For Purposes Of The Regulatory Flexibility Act
• § 275.202(a)(1)-1 (a)(1)-1 Certain Transactions Not Deemed Assignments
• § 275.202(a)(11)(G)-1 (a)(11)(g)-1 Family Offices
• § 275.202(a)(30)-1 (a)(30)-1 Foreign Private Advisers
• § 275.203(l)-1 (l)-1 Venture Capital Fund Defined
• § 275.203(m)-1 (m)-1 Private Fund Adviser Exemption
• § 275.203-1 -1 Application For Investment Adviser Registration
• § 275.203-2 -2 Withdrawal From Investment Adviser Registration
• § 275.203-3 -3 Hardship Exemptions
• § 275.203A-1 a-1 Eligibility For Sec Registration; Switching To Or From Sec Registration
• § 275.203A-2 a-2 Exemptions From Prohibition On Commission Registration
• § 275.203A-3 a-3 Definitions
• § 275.203A-4 - 275.203A-6 §§ 275.203a-4-275.203a-6 [reserved]
• § 275.204(b)-1 (b)-1 Reporting By Investment Advisers To Private Funds
• § 275.204-1 -1 Amendments To Form Adv
• § 275.204-2 -2 Books And Records To Be Maintained By Investment Advisers
• § 275.204-3 -3 Delivery Of Brochures And Brochure Supplements
• § 275.204-4 -4 Reporting By Exempt Reporting Advisers
• § 275.204-5 -5 Delivery Of Form Crs
• § 275.204A-1 a-1 Investment Adviser Codes Of Ethics
• § 275.205-1 -1 Definition Of “investment Performance” Of An Investment Company And “investment Record” Of An Appropriate Index Of Securities Prices
• § 275.205-2 -2 Definition Of “specified Period” Over Which The Asset Value Of The Company Or Fund Under Management Is Averaged
• § 275.205-3 -3 Exemption From The Compensation Prohibition Of Section 205(a)(1) For Investment Advisers
• § 275.206(3)-1 (3)-1 Exemption Of Investment Advisers Registered As Broker-dealers In Connection With The Provision Of Certain Investment Advisory Services
• § 275.206(3)-2 (3)-2 Agency Cross Transactions For Advisory Clients
• § 275.206(4)-(3) - 275.206(4)-4 §§ 275.206(4)-(3)-275.206(4)-4 [reserved]
• § 275.206(4)-1 (4)-1 Investment Adviser Marketing
• § 275.206(4)-2 (4)-2 Custody Of Funds Or Securities Of Clients By Investment Advisers
• § 275.206(4)-5 (4)-5 Political Contributions By Certain Investment Advisers
• § 275.206(4)-6 (4)-6 Proxy Voting
• § 275.206(4)-7 (4)-7 Compliance Procedures And Practices
• § 275.206(4)-8 (4)-8 Pooled Investment Vehicles
• § 275.222-1 -1 Definitions
• § 275.222-2 -2 Definition Of “client” For Purposes Of The National De Minimis Standard