Part 270 - RULES AND REGULATIONS, INVESTMENT COMPANY ACT OF 1940  


§ 270.0-1 Definition of terms used in this part.
§ 270.0-2 General requirements of papers and applications.
§ 270.0-3 Amendments to registration statements and reports.
§ 270.0-4 Incorporation by reference.
§ 270.0-5 Procedure with respect to applications and other matters.
§ 270.0-8 Payment of fees.
§ 270.0-9 [Reserved]
§ 270.0-10 Small entities under the Investment Company Act for purposes of the Regulatory Flexibility Act.
§ 270.0-11 Customer identification programs.
§ 270.30a-1 Annual report for registered investment companies.
§ 270.20a-1 Solicitation of proxies, consents and authorizations.
§ 270.60a-1 Exemption for certain business development companies.
§ 270.30a-2 Certification of Form N-CSR and Form N-Q.
§ 270.30a-3 Controls and procedures.
§ 270.30a-4 Annual report for wholly-owned registered management investment company subsidiary of registered management investment company.
§ 270.30b2-1 Filing of reports to stockholders.
§ 270.10b-1 Definition of regular broker or dealer.
§ 270.30b1-1 Semi-annual report for registered management investment companies.
§ 270.30b1-2 Semi-annual report for totally-owned registered management investment company subsidiary of registered management investment company.
§ 270.30b1-3 Transition reports.
§ 270.30b1-4 Report of proxy voting record.
§ 270.30b1-5 Quarterly report.
§ 270.30b1-7 Monthly report for money market funds.
§ 270.30b1-8 Current report for money market funds.
§ 270.30b1-9 Monthly report.
§ 270.30b1-10 Current report for open-end management investment companies.
§ 270.30d-1 Filing of copies of reports to shareholders.
§ 270.10e-1 Death, disqualification, or bona fide resignation of directors.
§ 270.30e-1 Reports to stockholders of management companies.
§ 270.30e-2 Reports to shareholders of unit investment trusts.
§ 270.30e-3 xxx
§ 270.10f-1 Conditional exemption of certain underwriting transactions.
§ 270.10f-2 Exercise of warrants or rights received on portfolio securities.
§ 270.10f-3 Exemption for the acquisition of securities during the existence of an underwriting or selling syndicate.
§ 270.30h-1 Applicability of section 16 of the Exchange Act to section 30(h).
§§ 270.20a-2 — 270.20a-4 [Reserved]
§§ 270.30b1-1-270.b1-3 [Reserved]
§§ 270.30b1-1--270.b1-3 [Reserved]
§ 270.30b1-6T Weekly portfolio report for certain money market funds.
§ 270.30b1-9(T) Temporary rule regarding monthly report.
§ 270.6e-3(T) Temporary exemptions for flexible premium variable life insurance separate accounts.
§ 270.31a-1 Records to be maintained by registered investment companies, certain majority-owned subsidiaries thereof, and other persons having transactions with registered investment companies.
§ 270.11a-1 Definition of “exchange” for purposes of section 11 of the Act.
§ 270.11a-2 Offers of exchange by certain registered separate accounts or others the terms of which do not require prior Commission approval.
§ 270.31a-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 Records prepared or maintained by other than person required to maintain and preserve them.
§ 270.11a-3 Offers of exchange by open-end investment companies other than separate accounts.
§ 270.2a-1 Valuation of portfolio securities in special cases.
§ 270.2a41-1 Valuation of standby commitments by registered investment companies.
§ 270.2a3-1 Investment company limited partners not deemed affiliated persons.
§ 270.32a-1 Exemption of certain companies from affiliation provisions of section 32(a).
§ 270.2a51-1 Definition of investments for purposes of section 2(a)(51) (definition of “qualified purchaser”); certain calculations.
§ 270.32a-2 Exemption for initial period from vote of security holders on independent public accountant for certain registered separate accounts.
§ 270.2a51-2 Definitions of beneficial owner for certain purposes under sections 2(a)(51) and 3(c)(7) and determining indirect ownership interests.
§ 270.2a-2 Effect of eliminations upon valuation of portfolio securities.
§ 270.2a19-2 Investment company general partners not deemed interested persons.
§ 270.32a-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.
§ 270.2a51-3 Certain companies as qualified purchasers.
§ 270.2a19-3 Certain investment company directors not considered interested persons because of ownership of index fund securities.
§ 270.2a-4 Definition of “current net asset value” for use in computing periodically the current price of redeemable security.
§ 270.32a-4 Independent audit committees.
§ 270.2a-6 Certain transactions not deemed assignments.
§ 270.2a-7 Money market funds.
§ 270.2a-46 Certain issuers as eligible portfolio companies.
§ 270.12b-1 Distribution of shares by registered open-end management investment company.
§ 270.22c-1 Pricing of redeemable securities for distribution, redemption and repurchase.
§ 270.22c-2 Redemption fees for redeemable securities.
§ 270.12d2-1 Definition of insurance company for purposes of sections 12(d)(2) and 12(g) of the Act.
§ 270.22d-1 Exemption from section 22(d) to permit sales of redeemable securities at prices which reflect sales loads set pursuant to a schedule.
§ 270.12d1-1 Exemptions for investments in money market funds.
§ 270.12d3-1 Exemption of acquisitions of securities issued by persons engaged in securities related businesses.
§ 270.12d1-2 Exemptions for investment companies relying on section 12(d)(1)(G) of the Act.
§ 270.22d-2 Exemption from section 22(d) for certain registered separate accounts.
§ 270.12d1-3 Exemptions for investment companies relying on section 12(d)(1)(F) of the Act.
§ 270.22e-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 Pricing of redemption requests in accordance with Rule 22c–1.
§ 270.22e-3 Exemption for liquidation of money market funds.
§ 270.22e-4 Liquidity risk management programs.
§ 270.3a-1 Certain prima facie investment companies.
§ 270.13a-1 Exemption for change of status by temporarily diversified company.
§ 270.3a-2 Transient investment companies.
§ 270.3a-3 Certain investment companies owned by companies which are not investment companies.
§ 270.3a-4 Status of investment advisory programs.
§ 270.3a-5 Exemption for subsidiaries organized to finance the operations of domestic or foreign companies.
§ 270.3a-6 Foreign banks and foreign insurance companies.
§ 270.3a-7 Issuers of asset-backed securities.
§ 270.3a-8 Certain research and development companies.
§ 270.23c-1 Repurchase of securities by closed-end companies.
§ 270.3c-1 Definition of beneficial ownership for certain 3(c)(1) funds.
§ 270.3c-2 Definition of beneficial ownership in small business investment companies.
§ 270.23c-2 Call and redemption of securities issued by registered closed-end companies.
§ 270.23c-3 Repurchase offers by closed-end companies.
§ 270.3c-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 Definition of “common trust fund” as used in section 3(c)(3) of the Act.
§ 270.3c-5 Beneficial ownership by knowledgeable employees and certain other persons.
§ 270.3c-6 Certain transfers of interests in section 3(c)(1) and section 3(c)(7) funds.
§ 270.14a-1 Use of notification pursuant to regulation E under the Securities Act of 1933.
§ 270.14a-2 Exemption from section 14(a) of the Act for certain registered separate accounts and their principal underwriters.
§ 270.14a-3 Exemption from section 14(a) of the Act for certain registered unit investment trusts and their principal underwriters.
§ 270.34b-1 Sales literature deemed to be misleading.
§ 270.24b-1 Definitions.
§ 270.24b-2 Filing copies of sales literature.
§ 270.24b-3 Sales literature deemed filed.
§ 270.24e-1 Filing of certain prospectuses as post-effective amendments to registration statements under the Securities Act of 1933.
§ 270.24f-2 Registration under the Securities Act of 1933 of certain investment company securities.
§ 270.55a-1 Investment activities of business development companies.
§ 270.15a-1 Exemption from stockholders' approval of certain small investment advisory contracts.
§ 270.45a-1 Confidential treatment of names and addresses of dealers of registered investment company securities.
§ 270.15a-2 Annual continuance of contracts.
§ 270.15a-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 Temporary exemption for certain investment advisers.
§ 270.5b-1 Definition of “total assets.”
§ 270.5b-2 Exclusion of certain guarantees as securities of the guarantor.
§ 270.5b-3 Acquisition of repurchase agreement or refunded security treated as acquisition of underlying securities.
§ 270.35d-1 Investment company names.
§ 270.16a-1 Exemption for initial period of directors of certain registered accounts from requirements of election by security holders.
§ 270.26a-1 Payment of administrative fees to the depositor or principal underwriter of a unit investment trust; exemptive relief for separate accounts.
§ 270.26a-2 Exemptions from certain provisions of sections 26 and 27 for registered separate accounts and others regarding custodianship of and deduction of certain fees and charges from the assets of such accounts.
§ 270.6a-5 Purchase of certain debt securities by companies relying on section 6(a)(5) of the Act.
§ 270.6b-1 Exemption of employees' securities company pending determination of application.
§ 270.6c-3 Exemptions for certain registered variable life insurance separate accounts.
§ 270.6c-6 Exemption for certain registered separate accounts and other persons.
§ 270.6c-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 Exemptions for registered separate accounts to impose a deferred sales load and to deduct certain administrative charges.
§ 270.6c-10 Exemption for certain open-end management investment companies to impose deferred sales loads.
§ 270.6d-1 Exemption for certain closed-end investment companies.
§ 270.6e-2 Exemptions for certain variable life insurance separate accounts.
§ 270.17a-1 Exemption of certain underwriting transactions exempted by § 270.10f-1.
§ 270.27a-1 Conditions for compliance with and exemptions from certain provisions of section 27(a)(1) and section 27(h)(1) of the Act for certain registered separate accounts.
§ 270.27a-2 Exemption from section 27(a)(3) and section 27(h)(3) of the Act for certain registered separate accounts.
§ 270.17a-2 Exemption of certain purchase, sale, or borrowing transactions.
§ 270.27a-3 Exemption from section 27(a)(4) and section 27(h)(5) of the Act for certain registered separate accounts.
§ 270.17a-3 Exemption of transactions with fully owned subsidiaries.
§ 270.17a-4 Exemption of transactions pursuant to certain contracts.
§ 270.17a-5 Pro rata distribution neither “sale” nor “purchase.”
§ 270.17a-6 Exemption for transactions with portfolio affiliates.
§ 270.17a-7 Exemption of certain purchase or sale transactions between an investment company and certain affiliated persons thereof.
§ 270.17a-8 Mergers of affiliated companies.
§ 270.17a-9 Purchase of certain securities from a money market fund by an affiliate, or an affiliate of an affiliate.
§ 270.17a-10 Exemption for transactions with certain subadvisory affiliates.
§ 270.57b-1 Exemption for downstream affiliates of business development companies.
§ 270.27c-1 Exemption from section 27(c)(1) and section 27(d) of the Act during annuity payment period of variable annuity contracts participating in certain registered separate accounts.
§ 270.7d-1 Specification of conditions and arrangements for Canadian management investment companies requesting order permitting registration.
§ 270.17d-1 Applications regarding joint enterprises or arrangements and certain profit-sharing plans.
§ 270.27d-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.
§ 270.7d-2 Definition of “public offering” as used in section 7(d) of the Act with respect to certain Canadian tax-deferred retirement savings accounts.
§ 270.27d-2 Insurance company undertaking in lieu of segregated trust account.
§ 270.17d-2 Form for report by small business investment company and affiliated bank.
§ 270.17d-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 Brokerage transactions on a securities exchange.
§ 270.27e-1 Requirements for notice to be mailed to certain purchasers of periodic payment plan certificates sold subject to section 27(d) of the Act.
§ 270.17f-1 Custody of securities with members of national securities exchanges.
§ 270.27f-1 Notice of right of withdrawal required to be mailed to periodic payment plan certificate holders and exemption from section 27(f) for certain periodic payment plan certificates.
§ 270.17f-2 Custody of investments by registered management investment company.
§ 270.17f-3 Free cash accounts for investment companies with bank custodians.
§ 270.17f-4 Custody of investment company assets with a securities depository.
§ 270.17f-5 Custody of investment company assets outside the United States.
§ 270.17f-6 Custody of investment company assets with Futures Commission Merchants and Commodity Clearing Organizations.
§ 270.17f-7 Custody of investment company assets with a foreign securities depository.
§ 270.27g-1 Election to be governed by section 27(h).
§ 270.17g-1 Bonding of officers and employees of registered management investment companies.
§ 270.27h-1 Exemptions from section 27(h)(4) for certain payments.
§ 270.17j-1 Personal investment activities of investment company personnel.
§ 270.38a-1 Compliance procedures and practices of certain investment companies.
§ 270.8b-1 Scope of §§270.8b-1 through 270.8b-32.
§ 270.28b-1 Investment in loans partially or wholly guaranteed under the Servicemen's Readjustment Act of 1944, as amended.
§ 270.8b-2 Definitions.
§ 270.8b-3 Title of securities.
§ 270.8b-4 Interpretation of requirements.
§ 270.8b-5 Time of filing original registration statement.
§ 270.8b-6 [Reserved]
§ 270.8b-10 Requirements as to proper form.
§ 270.8b-11 Number of copies; signatures; binding.
§ 270.8b-12 Requirements as to paper, printing and language.
§ 270.8b-13 Preparation of registration statement or report.
§ 270.8b-14 Riders; inserts.
§ 270.8b-15 Amendments.
§ 270.8b-16 Amendments to registration statement.
§ 270.8b-20 Additional information.
§ 270.8b-21 Information unknown or not available.
§ 270.8b-22 Disclaimer of control.
§ 270.8b-23 Incorporation by reference.
§ 270.8b-24 Summaries or outlines of documents.
§ 270.8b-25 Extension of time for furnishing information.
§ 270.8b-30 Additional exhibits.
§ 270.8b-31 Omission of substantially identical documents.
§ 270.8b-32 Incorporation of exhibits by reference.
§ 270.8b-33 XBRL-Related Documents.
§ 270.18c-1 Exemption of privately held indebtedness.
§ 270.18c-2 Exemptions of certain debentures issued by small business investment companies.
§ 270.8f-1 Deregistration of certain registered investment companies.
§ 270.18f-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 Fair and equitable treatment for holders of each class or series of stock of series investment companies.
§ 270.18f-3 Multiple class companies.
§ 270.19a-1 Written statement to accompany dividend payments by management companies.
§ 270.19b-1 Frequency of distribution of capital gains.

Authority

15 U.S.C. 80a–1 et seq., 80a–34(d), 80a–37, and 80a–39, unless otherwise noted. Section 270.0–1 also issued under sec. 38(a) (15 U.S.C. 80a–37(a)); Section 270.0–1(a)(7) is also issued under 15 U.S.C. 80a–10(e); Section 270.0–11 also issued under secs. 8, 24, 30 and 38, Investment Company Act (15 U.S.C. 80a–8, 80a–24, 80a–29 and 80a–37), secs. 6, 7, 8, 10 and 19(a), Securities Act (15 U.S.C. 77f, 77g, 77h, 77j, 77s(a)) and secs. 3(b), 12, 13, 14, 15(d) and 23(a), Exchange Act (15 U.S.C. 78c(b), 78l, 78m, 78n, 78o(d) and 78w(a)); Section 270.6c-9 is also issued under secs. 6(c) (15 U.S.C. 80a-6(c)) and 38(a) (15 U.S.C. 80a-37(a)); Section 270.6c–10 is also issued under sec. 6(c) (15 U.S.C. 80a–6(c)); Section 270.6e–3(T) is also issued under sec. 6(e), 15 U.S.C. 80a–5(e); Section 270.8b–11 is also issued under 15 U.S.C. 77s, 80a–8, and 80a–37; Section 270.10e–1 is also issued under 15 U.S.C. 80a–10(e); Sections 270.12d1–1, 270.12d1–2, and 270.12d1–3 are also issued under 15 U.S.C. 80a–6(c), 80a–12(d)(1)(J), and 80a–37(a). Section 270.12d3–1 is also issued under 15 U.S.C. 80a-6(c); Section 270.17a–8 is also issued under 15 U.S.C. 80a–6(c) and 80a–37(a); Section 270.17d–1 is also issued under 15 U.S.C. 80a–6(c), 80a–17(d), and 80a–37(a); Section 270.17e–1 is also issued under 15 U.S.C. 80a–6(c), 80a–30(a), and 80a–37(a); Section 270.17f–5 also issued under sec. 6(c) (15 U.S.C. 80a–6(c); Section 270.17g–1 is also issued under 15 U.S.C. 80a–6(c), 80a–17(d), 80a–17(g), and 80a–37(a); Section 270.17j–1 is also issued under secs. 206(4) and 211(a), Investment Advisers Act (15 U.S.C. 80b–6(4) and 80b–11(a)); Section 270.19b–1 is also issued under secs. 6(c) (15 U.S.C. 80a–6(c)), 19 (a) and (b) (15 U.S.C 80a–19 (a) and (b)), and 38(a) (15 U.S.C. 80a–37(a)); Section 270.22c–1 also issued under secs. 6(c), 22(c), and 38(a) (15 U.S.C. 80a–6(c), 80a–22(c), and 80a–37(a)); Section 270.23c–3 also issued under 15 U.S.C. 80a–23(c). Section 270.24f–2 also issued under 15 U.S.C. 80a–24(f)(4). Section 270.30a–1 is also issued under 15 U.S.C. 78m, 78o(d), 80a–8, and 80a–29. Section 270.30a–2 is also issued under 15 U.S.C. 78m, 78o(d), 80a-8, 80a-29, 7202, and 7241; and 18 U.S.C. 1350, unless otherwise noted. Section 270.30a–3 is also issued under 15 U.S.C. 78m, 78o(d), 80a–8, and 80a–29, and secs. 3(a) and 302, Pub. L. 107–204, 116 Stat. 745. Section 270.30b1–1 is also issued under 15 U.S.C. 78m, 78o(d), 80a–8, and 80a–29. Section 270.30b2–1 is also issued under 15 U.S.C. 78m, 78o(d), 80a–8, and 80a–29, and secs. 3(a) and 302, Pub. L. 107–204, 116 Stat. 745. Section 270.30d–1 is also issued under 15 U.S.C. 78m, 78o(d), 80a–8, and 80a–29, and secs. 3(a) and 302, Pub. L. 107–204, 116 Stat. 745. Section 270.30e–1 is also issued under 15 U.S.C. 77f, 77g, 77h, 77j, 77s, 78 l, 78m, 78n, 78o(d), 78w(a), 80a–8, 80a–29, and 80a–37; Section 270.31a–2 is also issued under 15 U.S.C. 80a–30.