Title 17

PART 275

Part 275 - Rules And Regulations, Investment Advisers Act Of 1940

PART 275 - RULES AND REGULATIONS, INVESTMENT ADVISERS ACT OF 1940 Authority:15 U.S.C. 80b-2(a)(11)(G), 80b-2(a)(11)(H), 80b-2(a)(17), 80b-3, 80b-4, 80b-4a, 80b-6(4), 80b-6a, and 80b-11, unless otherwise noted.

Section 275.203A-1 is also issued under 15 U.S.C. 80b-3a.

Section 275.203A-2 is also issued under 15 U.S.C. 80b-3a.

Section 275.203A-3 is also issued under 15 U.S.C. 80b-3a.

Section 275.204-1 is also issued under sec. 407 and 408, Pub. L. 111-203, 124 Stat. 1376.

Section 275.204-2 is also issued under 15 U.S.C. 80b-6.

Section 275.205-3 is also issued under 15 U.S.C. 80b-5(e).

Section 275.204-4 is also issued under sec. 407 and 408, Pub. L. 111-203, 124 Stat. 1376.

Section 275.204-5 is also issued under sec. 913, Public Law 111-203, sec. 124 Stat. 1827-28 (2010).

Section 275.211h-1 is also issued under sec. 913, Public Law 111-203, sec. 124 Stat. 1827-28 (2010).

17:4.0.1.1.23.0.147.1SECTION 275.0-2
   275.0-2 General procedures for serving non-residents.
17:4.0.1.1.23.0.147.2SECTION 275.0-3
   275.0-3 References to rules and regulations.
17:4.0.1.1.23.0.147.3SECTION 275.0-4
   275.0-4 General requirements of papers and applications.
17:4.0.1.1.23.0.147.4SECTION 275.0-5
   275.0-5 Procedure with respect to applications and other matters.
17:4.0.1.1.23.0.147.5SECTION 275.0-6
   275.0-6 Incorporation by reference in applications.
17:4.0.1.1.23.0.147.6SECTION 275.0-7
   275.0-7 Small entities under the Investment Advisers Act for purposes of the Regulatory Flexibility Act.
17:4.0.1.1.23.0.147.7SECTION 275.202(a)(1)-1
   275.202(a)(1)-1 Certain transactions not deemed assignments.
17:4.0.1.1.23.0.147.8SECTION 275.202(a)(11)(G)-1
   275.202(a)(11)(G)-1 Family offices.
17:4.0.1.1.23.0.147.9SECTION 275.202(a)(30)-1
   275.202(a)(30)-1 Foreign private advisers.
17:4.0.1.1.23.0.147.10SECTION 275.203-1
   275.203-1 Application for investment adviser registration.
17:4.0.1.1.23.0.147.11SECTION 275.203-2
   275.203-2 Withdrawal from investment adviser registration.
17:4.0.1.1.23.0.147.12SECTION 275.203-3
   275.203-3 Hardship exemptions.
17:4.0.1.1.23.0.147.13SECTION 275.203(l)-1
   275.203(l)-1 Venture capital fund defined.
17:4.0.1.1.23.0.147.14SECTION 275.203(m)-1
   275.203(m)-1 Private fund adviser exemption.
17:4.0.1.1.23.0.147.15SECTION 275.203A-1
   275.203A-1 Eligibility for SEC registration; Switching to or from SEC registration.
17:4.0.1.1.23.0.147.16SECTION 275.203A-2
   275.203A-2 Exemptions from prohibition on Commission registration.
17:4.0.1.1.23.0.147.17SECTION 275.203A-3
   275.203A-3 Definitions.
17:4.0.1.1.23.0.147.18SECTION 275.203A-4 - 275.203A-6
   275.203A-4--275.203A-6 [Reserved]
17:4.0.1.1.23.0.147.19SECTION 275.204-1
   275.204-1 Amendments to Form ADV.
17:4.0.1.1.23.0.147.20SECTION 275.204-2
   275.204-2 Books and records to be maintained by investment advisers.
17:4.0.1.1.23.0.147.21SECTION 275.204-3
   275.204-3 Delivery of brochures and brochure supplements.
17:4.0.1.1.23.0.147.22SECTION 275.204-4
   275.204-4 Reporting by exempt reporting advisers.
17:4.0.1.1.23.0.147.23SECTION 275.204-5
   275.204-5 Delivery of Form CRS.
17:4.0.1.1.23.0.147.24SECTION 275.204(b)-1
   275.204(b)-1 Reporting by investment advisers to private funds.
17:4.0.1.1.23.0.147.25SECTION 275.204A-1
   275.204A-1 Investment adviser codes of ethics.
17:4.0.1.1.23.0.147.26SECTION 275.205-1
   275.205-1 Definition of “investment performance” of an investment company and “investment record” of an appropriate index of securities prices.
17:4.0.1.1.23.0.147.27SECTION 275.205-2
   275.205-2 Definition of “specified period” over which the asset value of the company or fund under management is averaged.
17:4.0.1.1.23.0.147.28SECTION 275.205-3
   275.205-3 Exemption from the compensation prohibition of section 205(a)(1) for investment advisers.
17:4.0.1.1.23.0.147.29SECTION 275.206(3)-1
   275.206(3)-1 Exemption of investment advisers registered as broker-dealers in connection with the provision of certain investment advisory services.
17:4.0.1.1.23.0.147.30SECTION 275.206(3)-2
   275.206(3)-2 Agency cross transactions for advisory clients.
17:4.0.1.1.23.0.147.31SECTION 275.206(4)-1
   275.206(4)-1 Advertisements by investment advisers.
17:4.0.1.1.23.0.147.32SECTION 275.206(4)-2
   275.206(4)-2 Custody of funds or securities of clients by investment advisers.
17:4.0.1.1.23.0.147.33SECTION 275.206(4)-3
   275.206(4)-3 Cash payments for client solicitations.
17:4.0.1.1.23.0.147.34SECTION 275.206(4)-4
   275.206(4)-4 [Reserved]
17:4.0.1.1.23.0.147.35SECTION 275.206(4)-5
   275.206(4)-5 Political contributions by certain investment advisers.
17:4.0.1.1.23.0.147.36SECTION 275.206(4)-6
   275.206(4)-6 Proxy voting.
17:4.0.1.1.23.0.147.37SECTION 275.206(4)-7
   275.206(4)-7 Compliance procedures and practices.
17:4.0.1.1.23.0.147.38SECTION 275.206(4)-8
   275.206(4)-8 Pooled investment vehicles.
17:4.0.1.1.23.0.147.39SECTION 275.222-1
   275.222-1 Definitions.
17:4.0.1.1.23.0.147.40SECTION 275.222-2
   275.222-2 Definition of “client” for purposes of the national de minimis standard.