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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
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General procedures for serving non-residents. |
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References to rules and regulations. |
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General requirements of papers and applications. |
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Procedure with respect to applications and other matters. |
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Incorporation by reference in applications. |
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Small entities under the Investment Advisers Act for purposes of the Regulatory Flexibility Act. |
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Certain transactions not deemed assignments. |
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Application for investment adviser registration. |
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Withdrawal from investment adviser registration. |
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Definition of ''client'' of an investment adviser. |
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Methods for counting clients in certain private funds. |
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Eligibility for SEC registration; switching to or from SEC registration. |
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Exemptions from prohibition on Commission registration. |
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Investment advisers registered with a State securities commission. |
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Amendments to application for registration. |
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Books and records to be maintained by investment advisers. |
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Written disclosure statements. |
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Investment adviser codes of ethics. |
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Definition of ''investment performance'' of an investment company and ''investment record'' of an appropriate index of securities prices. |
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Definition of ''specified period'' over which the asset value of the company or fund under management is averaged. |
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Exemption from the compensation prohibition of section 205(a)(1) for investment advisers. |
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Exemption of investment advisers registered as broker-dealers in connection with the provision of certain investment advisory services. |
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Agency cross transactions for advisory clients. |
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Temporary rule for principal trades with certain advisory clients. |
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Advertisements by investment advisers. |
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Custody of funds or securities of clients by investment advisers. |
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Cash payments for client solicitations. |
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Financial and disciplinary information that investment advisers must disclose to clients. |
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Compliance procedures and practices. |
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Pooled investment vehicles. |
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Definition of ''client'' for purposes of the national de minimis standard. |
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February 27, 2007< !-- #EndDate -- >-->
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