|
|
|
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 -- >-->
|