Title 17

PART 276

Part 276 - Interpretative Releases Relating To The Investment Advisers Act Of 1940 And General Rules And Regulations Thereunder

PART 276 - INTERPRETATIVE RELEASES RELATING TO THE INVESTMENT ADVISERS ACT OF 1940 AND GENERAL RULES AND REGULATIONS THEREUNDER Authority:15 U.S.C. 80b et seq.

Subject Release No. Date Fed. Reg. Vol. and Page
Opinion of General Counsel relating to section 202(a)(11)(C) of the Investment Advisers Act of 19402Oct. 28, 194011 FR 10996.
Opinion of the General Counsel relating to the use of the name “investment counsel” under section 208(c) of the Investment Advisers Act of 19408Dec. 12, 1940 Do.
Opinion of Director of Trading and Exchange Division, relating to section 206 of the Investment Advisers Act of 1940, section 17(a) of the Securities Act of 1933, and sections 10(b) and 15(c)(1) of the Securities Exchange Act of 193440Feb. 5, 194511 FR 10997.
Opinion of the General Counsel relating to the use of “hedge clauses” by brokers, dealers, investment advisers, and others58Apr. 10, 195116 FR 3387.
Statement of the Commission to clarify the meaning of “beneficial ownership of securities” as relates to beneficial ownership of securities held by family members194Jan. 25, 196631 FR 1005.
Statement of the Commission setting the date of May 1, 1966 after which filings must reflect beneficial ownership of securities held by family members196Feb. 14, 196631 FR 3175.
Statement of the Commission describing nature of examination required to be made of all funds and securities held by an investment adviser and the content of related accountant's certificate201June 1, 196631 FR 7821.
Publication of the Commission's procedure to be followed if requests are to be met for no action or interpretative letters and responses thereto to be made available for public use281Jan. 25, 197136 FR 2600.
Commission's statement of factors to be considered in connection with investment company advisory contracts containing incentive arrangements315Apr. 19, 197237 FR 7690.
Applicability of Commission's policy statement on the future structure of securities markets to selection of brokers and payment of commissions by institutional managers318May 18, 197237 FR 9988.
Commission's decisions on advisory committee recommendations regarding commencement of enforcement proceedings and termination of staff investigations336Mar. 1, 197338 FR 5457.
Commission's statement on obligations of underwriters with respect to discretionary accounts377June 29, 197338 FR 17201.
Applicability of investment advisers act to certain publications563Jan. 10, 197742 FR 2953;
42 FR 8140.
Contingent advisory compensation arrangements721May 16, 198045 FR 34876.
Applicability of investment advisers act to financial planners, pension consultants, and other persons who provide investment advisory services as an integral component of other financially related services770Aug. 13, 198146 FR 41771.
Statement of position of Commission's Division of Investment Management969Apr. 30, 198550 FR 19341.
Statement of staff interpretive position regarding certain rules and forms; uniform registration, disclolsure, and reporting requirements1000Dec. 3, 198550 FR 49835.
Applicability of the investment Advisers Act to financial planners, pension consultants, and other persons who provide investment advisory services as a component of other financial services1092Oct. 8, 198752 FR 38400.
Registration of Successors to Broker-Dealers and Investment Advisors1357Jan. 4, 199358 FR 11.
Use of electronic media for delivery purposes1562May 9, 199661 FR 24651.
Statement of the Commission Regarding Use of Internet Web Sites to Offer Securities, Solicit Securities Transactions or Advertise Investment Services Offshore1710Mar. 23, 199863 FR 14814
Interpretation of Section 206(3) of the Investment Advisers Act of 19401732July 17, 199863 FR 39508
Statement of the Commission Regarding Disclosure of Year 2000 Issues and Consequences by Public Companies, Investment Advisers, Investment Companies, and Municipal Securities Issuers1738July 29, 199863 FR 41404
Release No. IA-2969 Dec. 30, 200975 FR 1494
Commission Guidance Regarding the Definition of the Terms “Spouse” and “Marriage” Following the Supreme Court's Decision in United States v. WindsorIA-4122June 19, 201580 FR 37537
Commission Interpretation Regarding Standard of Conduct for Investment AdvisersIA-5248June 5, 201984 FR 33681
Commission Interpretation Regarding the Solely Incidental Prong of the Broker-Dealer Exclusion from the Definition of Investment AdviserIA-5249June 5, 201984 FR 33689
Commission Guidance Regarding the Proxy Voting Responsibilities of Investment AdvisersIA-5325Aug. 21, 201984 FR 47427
Supplement to Commission Guidance Regarding the Proxy Voting Responsibilities of Investment AdvisersIA-5547Sept. 3, 202085 FR 55157