PART 275--RULES AND REGULATIONS, INVESTMENT ADVISERS ACT OF 1940
275.0-2
Consent to service of process to be furnished by non-resident investment advisers and by non-resident investment general partners or managing agents of investment advisers.
275.0-3
References to rules and regulations.
275.0-4
General requirements of papers and applications.
275.0-5
Procedure with respect to applications and other matters.
275.0-6
Incorporation by reference in applications.
275.0-7
Small entities under the Investment Advisers Act for purposes of the Regulatory Flexibility Act.
275.202(a)(1)-1
Certain transactions not deemed assignments.
275.203-1
Application for registration of investment adviser.
275.203-2
Withdrawal from registration.
275.203(b)(3)-1
Definition of ``client'' of an investment adviser.
275.203A-1
Eligibility for Commission registration.
275.203A-2
Exemptions from prohibition on Commission registration.
275.203A-3
Definitions.
275.203A-4
Investment advisers registered with a State securities commission.
275.203A-6
Transition period for Ohio investment advisers.
275.204-1
Amendments to application for registration.
275.204-2
Books and records to be maintained by investment advisers.
275.204-3
Written disclosure statements.
275.204-5
Year 2000 reports.
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.
275.206(3)-1
Exemption of investment advisers registered as broker-dealers in connection with the provision of certain investment advisory services.
275.206(3)-2
Agency cross transactions for advisory clients.
275.206(4)-1
Advertisements by investment advisers.
275.206(4)-2
Custody or possession of funds or securities of clients.
275.206(4)-3
Cash payments for client solicitations.
275.206(4)-4
Financial and disciplinary information that investment advisers must disclose to clients.
275.222-1
Definitions.
275.222-2
Definiton of ``client'' for purposes of the national de minimis standard.