 |
|
 |
Home Page > Executive Branch > Code of Federal Regulations > Electronic Code of Federal Regulations
e-CFR Data is current as of August 21, 2009
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. |
|
|
| Temporary rule for principal trades with certain 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. |
|
|
| Pooled investment vehicles. |
|
|
| Definition of ''client'' for purposes of the national de minimis standard. |
|
February 27, 2007< !-- #EndDate -- >-->
|
