Part 275 - RULES AND REGULATIONS, INVESTMENT ADVISERS ACT OF 1940  


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

Authority

15 U.S.C. 80b–2(a)(11)(G), 80b–2(a)(11)(H), 80b–2(a)(17), 80b–3, 80b–4, 80b–4a, 80b–6(4), 80b–6a, and 80b–11, unless otherwise noted. Section 275.203A–1 is also issued under 15 U.S.C. 80b–3a. Section 275.203A–2 is also issued under 15 U.S.C. 80b–3a. Section 275.203A–3 is also issued under 15 U.S.C. 80b–3a. Section 275.203A–5 is also issued under 15 U.S.C. 80b–3a. Section 275.204–1 is also issued under sec. 407 and 408, Pub. L. 111–203, 124 Stat. 1376. Section 275.204–2 is also issued under 15 U.S.C. 80b–6. Section 275.205–3 is also issued under 15 U.S.C. 80b–5(e). Section 275.204–4 is also issued under sec. 407 and 408, Pub. L. 111–203, 124 Stat. 1376.