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Title 17--Commodity and Securities Exchanges
CHAPTER II--SECURITIES AND EXCHANGE COMMISSION--Continued
PART 275--RULES AND REGULATIONS, INVESTMENT ADVISERS ACT OF 1940
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 | 275.0-2 | General procedures for serving non-residents. |
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| 275.0-3 | References to rules and regulations. |
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| 275.0-4 | General requirements of papers and applications. |
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| 275.0-5 | Procedure with respect to applications and other matters. |
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| 275.0-6 | Incorporation by reference in applications. |
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| 275.0-7 | Small entities under the Investment Advisers Act for purposes of the Regulatory Flexibility Act. |
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| 275.202(a)(1)-1 | Certain transactions not deemed assignments. |
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| 275.203-1 | Application for investment adviser registration. |
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| 275.203-2 | Withdrawal from investment adviser registration. |
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| 275.203-3 | Hardship exemptions. |
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| 275.203(b)(3)-1 | Definition of ``client'' of an investment adviser. |
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| 275.203A-1 | Eligibility for SEC registration; switching to or from SEC registration. |
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| 275.203A-2 | Exemptions from prohibition on Commission registration. |
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| 275.203A-3 | Definitions. |
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| 275.203A-4 | Investment advisers registered with a State securities commission. |
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| 275.203A-6 | Transition period for Ohio investment advisers. |
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| 275.204-1 | Amendments to application for registration. |
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| 275.204-2 | Books and records to be maintained by investment advisers. |
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| 275.204-3 | Written disclosure statements. |
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| 275.205-1 | Definition of ``investment performance'' of an investment company and ``investment record'' of an appropriate index of securities prices. |
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| 275.205-2 | Definition of ``specified period'' over which the asset value of the company or fund under management is averaged. |
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| 275.205-3 | Exemption from the compensation prohibition of section 205(a)(1) for investment advisers. |
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| 275.206(3)-1 | Exemption of investment advisers registered as broker-dealers in connection with the provision of certain investment advisory services. |
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| 275.206(3)-2 | Agency cross transactions for advisory clients. |
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| 275.206(4)-1 | Advertisements by investment advisers. |
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| 275.206(4)-2 | Custody or possession of funds or securities of clients. |
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| 275.206(4)-3 | Cash payments for client solicitations. |
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| 275.206(4)-4 | Financial and disciplinary information that investment advisers must disclose to clients. |
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| 275.222-1 | Definitions. |
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| 275.222-2 | Definiton of ``client'' for purposes of the national de minimis standard. |
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