Title 17

PART 270

Part 270 - Rules And Regulations, Investment Company Act Of 1940

PART 270 - RULES AND REGULATIONS, INVESTMENT COMPANY ACT OF 1940 Authority:15 U.S.C. 80a-1 et seq., 80a-34(d), 80a-37, 80a-39, and Pub. L. 111-203, sec. 939A, 124 Stat. 1376 (2010), unless otherwise noted. Link to an amendment published at 85 FR 26101, May 1, 2020.Section 270.0-1 also issued under sec. 38(a) (15 U.S.C. 80a-37(a));

Section 270.0-1(a)(7) is also issued under 15 U.S.C. 80a-10(e);

Section 270.0-11 also issued under secs. 8, 24, 30 and 38, Investment Company Act (15 U.S.C. 80a-8, 80a-24, 80a-29 and 80a-37), secs. 6, 7, 8, 10 and 19(a), Securities Act (15 U.S.C. 77f, 77g, 77h, 77j, 77s(a)) and secs. 3(b), 12, 13, 14, 15(d) and 23(a), Exchange Act (15 U.S.C. 78c(b), 78l, 78m, 78n, 78o(d) and 78w(a));

Section 270.6a-5 is also issued under 15 U.S.C. 80a-6(a)(5)(A)(iv)(I).

Section 270.6c-9 is also issued under secs. 6(c) (15 U.S.C. 80a-6(c)) and 38(a) (15 U.S.C. 80a-37(a));

Section 270.6c-10 is also issued under sec. 6(c) (15 U.S.C. 80a-6(c));

Section 270.6c-11 is also issued under 15 U.S.C. 80a-6(c) and 80a-37(a).

Section 270.6e-3(T) is also issued under sec. 6(e), 15 U.S.C. 80a-5(e);

Section 270.8b-11 is also issued under 15 U.S.C. 77s, 80a-8, and 80a-37;

Section 270.10e-1 is also issued under 15 U.S.C. 80a-10(e);

Sections 270.12d1-1, 270.12d1-2, and 270.12d1-3 are also issued under 15 U.S.C. 80a-6(c), 80a-12(d)(1)(J), and 80a-37(a).

Section 270.12d3-1 is also issued under 15 U.S.C. 80a-6(c);

Section 270.17a-8 is also issued under 15 U.S.C. 80a-6(c) and 80a-37(a);

Section 270.17d-1 is also issued under 15 U.S.C. 80a-6(c), 80a-17(d), and 80a-37(a);

Section 270.17e-1 is also issued under 15 U.S.C. 80a-6(c), 80a-30(a), and 80a-37(a);

Section 270.17f-5 also issued under sec. 6(c) (15 U.S.C. 80a-6(c);

Section 270.17g-1 is also issued under 15 U.S.C. 80a-6(c), 80a-17(d), 80a-17(g), and 80a-37(a);

Section 270.17j-1 is also issued under secs. 206(4) and 211(a), Investment Advisers Act (15 U.S.C. 80b-6(4) and 80b-11(a));

Section 270.19b-1 is also issued under secs. 6(c) (15 U.S.C. 80a-6(c)), 19 (a) and (b) (15 U.S.C 80a-19 (a) and (b)), and 38(a) (15 U.S.C. 80a-37(a));

Section 270.22c-1 also issued under secs. 6(c), 22(c), and 38(a) (15 U.S.C. 80a-6(c), 80a-22(c), and 80a-37(a));

Section 270.23c-3 also issued under 15 U.S.C. 80a-23(c).

Section 270.24f-2 also issued under 15 U.S.C. 80a-24(f)(4).

Section 270.30a-1 is also issued under 15 U.S.C. 78m, 78o(d), 80a-8, and 80a-29.

Section 270.30a-2 is also issued under 15 U.S.C. 78m, 78o(d), 80a-8, 80a-29, 7202, and 7241; and 18 U.S.C. 1350, unless otherwise noted.

Section 270.30a-3 is also issued under 15 U.S.C. 78m, 78o(d), 80a-8, and 80a-29, and secs. 3(a) and 302, Pub. L. 107-204, 116 Stat. 745.

Section 270.30b1-1 is also issued under 15 U.S.C. 78m, 78o(d), 80a-8, and 80a-29.

Section 270.30b2-1 is also issued under 15 U.S.C. 78m, 78o(d), 80a-8, and 80a-29, and secs. 3(a) and 302, Pub. L. 107-204, 116 Stat. 745.

Section 270.30d-1 is also issued under 15 U.S.C. 78m, 78o(d), 80a-8, and 80a-29, and secs. 3(a) and 302, Pub. L. 107-204, 116 Stat. 745.

Section 270.30e-1 is also issued under 15 U.S.C. 77f, 77g, 77h, 77j, 77s, 78l, 78m, 78n, 78o(d), 78w(a), 80a-8, 80a-29, and 80a-37;

Section 270.31a-2 is also issued under 15 U.S.C. 80a-30.

ATTENTION ELECTRONIC FILERS THIS REGULATION SHOULD BE READ IN CONJUNCTION WITH REGULATION S-T (PART 232 OF THIS CHAPTER), WHICH GOVERNS THE PREPARATION AND SUBMISSION OF DOCUMENTS IN ELECTRONIC FORMAT. MANY PROVISIONS RELATING TO THE PREPARATION AND SUBMISSION OF DOCUMENTS IN PAPER FORMAT CONTAINED IN THIS REGULATION ARE SUPERSEDED BY THE PROVISIONS OF REGULATION S-T FOR DOCUMENTS REQUIRED TO BE FILED IN ELECTRONIC FORMAT.

17:4.0.1.1.20.0.147.1SECTION 270.0-1
   270.0-1 Definition of terms used in this part.
17:4.0.1.1.20.0.147.2SECTION 270.0-2
   270.0-2 General requirements of papers and applications.
17:4.0.1.1.20.0.147.3SECTION 270.0-3
   270.0-3 Amendments to registration statements and reports.
17:4.0.1.1.20.0.147.4SECTION 270.0-4
   270.0-4 Incorporation by reference.
17:4.0.1.1.20.0.147.5SECTION 270.0-5
   270.0-5 Procedure with respect to applications and other matters.
17:4.0.1.1.20.0.147.6SECTION 270.0-8
   270.0-8 Payment of fees.
17:4.0.1.1.20.0.147.7SECTION 270.0-9
   270.0-9 [Reserved]
17:4.0.1.1.20.0.147.8SECTION 270.0-10
   270.0-10 Small entities under the Investment Company Act for purposes of the Regulatory Flexibility Act.
17:4.0.1.1.20.0.147.9SECTION 270.0-11
   270.0-11 Customer identification programs.
17:4.0.1.1.20.0.147.10SECTION 270.2a-1
   270.2a-1 Valuation of portfolio securities in special cases.
17:4.0.1.1.20.0.147.11SECTION 270.2a-2
   270.2a-2 Effect of eliminations upon valuation of portfolio securities.
17:4.0.1.1.20.0.147.12SECTION 270.2a3-1
   270.2a3-1 Investment company limited partners not deemed affiliated persons.
17:4.0.1.1.20.0.147.13SECTION 270.2a-4
   270.2a-4 Definition of “current net asset value” for use in computing periodically the current price of redeemable security.
17:4.0.1.1.20.0.147.14SECTION 270.2a-6
   270.2a-6 Certain transactions not deemed assignments.
17:4.0.1.1.20.0.147.15SECTION 270.2a-7
   270.2a-7 Money market funds.
17:4.0.1.1.20.0.147.16SECTION 270.2a19-2
   270.2a19-2 Investment company general partners not deemed interested persons.
17:4.0.1.1.20.0.147.17SECTION 270.2a19-3
   270.2a19-3 Certain investment company directors not considered interested persons because of ownership of index fund securities.
17:4.0.1.1.20.0.147.18SECTION 270.2a41-1
   270.2a41-1 Valuation of standby commitments by registered investment companies.
17:4.0.1.1.20.0.147.19SECTION 270.2a-46
   270.2a-46 Certain issuers as eligible portfolio companies.
17:4.0.1.1.20.0.147.20SECTION 270.2a51-1
   270.2a51-1 Definition of investments for purposes of section 2(a)(51) (definition of “qualified purchaser”); certain calculations.
17:4.0.1.1.20.0.147.21SECTION 270.2a51-2
   270.2a51-2 Definitions of beneficial owner for certain purposes under sections 2(a)(51) and 3(c)(7) and determining indirect ownership interests.
17:4.0.1.1.20.0.147.22SECTION 270.2a51-3
   270.2a51-3 Certain companies as qualified purchasers.
17:4.0.1.1.20.0.147.23SECTION 270.3a-1
   270.3a-1 Certain prima facie investment companies.
17:4.0.1.1.20.0.147.24SECTION 270.3a-2
   270.3a-2 Transient investment companies.
17:4.0.1.1.20.0.147.25SECTION 270.3a-3
   270.3a-3 Certain investment companies owned by companies which are not investment companies.
17:4.0.1.1.20.0.147.26SECTION 270.3a-4
   270.3a-4 Status of investment advisory programs.
17:4.0.1.1.20.0.147.27SECTION 270.3a-5
   270.3a-5 Exemption for subsidiaries organized to finance the operations of domestic or foreign companies.
17:4.0.1.1.20.0.147.28SECTION 270.3a-6
   270.3a-6 Foreign banks and foreign insurance companies.
17:4.0.1.1.20.0.147.29SECTION 270.3a-7
   270.3a-7 Issuers of asset-backed securities.
17:4.0.1.1.20.0.147.30SECTION 270.3a-8
   270.3a-8 Certain research and development companies.
17:4.0.1.1.20.0.147.31SECTION 270.3c-1
   270.3c-1 Definition of beneficial ownership for certain 3(c)(1) funds.
17:4.0.1.1.20.0.147.32SECTION 270.3c-2
   270.3c-2 Definition of beneficial ownership in small business investment companies.
17:4.0.1.1.20.0.147.33SECTION 270.3c-3
   270.3c-3 Definition of certain terms used in section 3(c)(1) of the Act with respect to certain debt securities offered by small business investment companies.
17:4.0.1.1.20.0.147.34SECTION 270.3c-4
   270.3c-4 Definition of “common trust fund” as used in section 3(c)(3) of the Act.
17:4.0.1.1.20.0.147.35SECTION 270.3c-5
   270.3c-5 Beneficial ownership by knowledgeable employees and certain other persons.
17:4.0.1.1.20.0.147.36SECTION 270.3c-6
   270.3c-6 Certain transfers of interests in section 3(c)(1) and section 3(c)(7) funds.
17:4.0.1.1.20.0.147.37SECTION 270.5b-1
   270.5b-1 Definition of “total assets.”
17:4.0.1.1.20.0.147.38SECTION 270.5b-2
   270.5b-2 Exclusion of certain guarantees as securities of the guarantor.
17:4.0.1.1.20.0.147.39SECTION 270.5b-3
   270.5b-3 Acquisition of repurchase agreement or refunded security treated as acquisition of underlying securities.
17:4.0.1.1.20.0.147.40SECTION 270.6a-5
   270.6a-5 Purchase of certain debt securities by companies relying on section 6(a)(5) of the Act.
17:4.0.1.1.20.0.147.41SECTION 270.6b-1
   270.6b-1 Exemption of employees' securities company pending determination of application.
17:4.0.1.1.20.0.147.42SECTION 270.6c-3
   270.6c-3 Exemptions for certain registered variable life insurance separate accounts.
17:4.0.1.1.20.0.147.43SECTION 270.6c-6
   270.6c-6 Exemption for certain registered separate accounts and other persons.
17:4.0.1.1.20.0.147.44SECTION 270.6c-7
   270.6c-7 Exemptions from certain provisions of sections 22(e) and 27 for registered separate accounts offering variable annuity contracts to participants in the Texas Optional Retirement Program.
17:4.0.1.1.20.0.147.45SECTION 270.6c-8
   270.6c-8 Exemptions for registered separate accounts to impose a deferred sales load and to deduct certain administrative charges.
17:4.0.1.1.20.0.147.46SECTION 270.6c-10
   270.6c-10 Exemption for certain open-end management investment companies to impose deferred sales loads.
17:4.0.1.1.20.0.147.47SECTION 270.6c-11
   270.6c-11 Exchange-traded funds.
17:4.0.1.1.20.0.147.48SECTION 270.6d-1
   270.6d-1 Exemption for certain closed-end investment companies.
17:4.0.1.1.20.0.147.49SECTION 270.6e-2
   270.6e-2 Exemptions for certain variable life insurance separate accounts.
17:4.0.1.1.20.0.147.50SECTION 270.6e-3(T)
   270.6e-3(T) Temporary exemptions for flexible premium variable life insurance separate accounts.
17:4.0.1.1.20.0.147.51SECTION 270.7d-1
   270.7d-1 Specification of conditions and arrangements for Canadian management investment companies requesting order permitting registration.
17:4.0.1.1.20.0.147.52SECTION 270.7d-2
   270.7d-2 Definition of “public offering” as used in section 7(d) of the Act with respect to certain Canadian tax-deferred retirement savings accounts.
17:4.0.1.1.20.0.147.53SECTION 270.8b-1
   270.8b-1 Scope of §§ 270.8b-1 through 270.8b-32.
17:4.0.1.1.20.0.147.54SECTION 270.8b-2
   270.8b-2 Definitions.
17:4.0.1.1.20.0.147.55SECTION 270.8b-3
   270.8b-3 Title of securities.
17:4.0.1.1.20.0.147.56SECTION 270.8b-4
   270.8b-4 Interpretation of requirements.
17:4.0.1.1.20.0.147.57SECTION 270.8b-5
   270.8b-5 Time of filing original registration statement.
17:4.0.1.1.20.0.147.58SECTION 270.8b-6
   270.8b-6 [Reserved]
17:4.0.1.1.20.0.147.59SECTION 270.8b-10
   270.8b-10 Requirements as to proper form.
17:4.0.1.1.20.0.147.60SECTION 270.8b-11
   270.8b-11 Number of copies; signatures; binding.
17:4.0.1.1.20.0.147.61SECTION 270.8b-12
   270.8b-12 Requirements as to paper, printing and language.
17:4.0.1.1.20.0.147.62SECTION 270.8b-13
   270.8b-13 Preparation of registration statement or report.
17:4.0.1.1.20.0.147.63SECTION 270.8b-14
   270.8b-14 Riders; inserts.
17:4.0.1.1.20.0.147.64SECTION 270.8b-15
   270.8b-15 Amendments.
17:4.0.1.1.20.0.147.65SECTION 270.8b-16
   270.8b-16 Amendments to registration statement.
17:4.0.1.1.20.0.147.66SECTION 270.8b-20
   270.8b-20 Additional information.
17:4.0.1.1.20.0.147.67SECTION 270.8b-21
   270.8b-21 Information unknown or not available.
17:4.0.1.1.20.0.147.68SECTION 270.8b-22
   270.8b-22 Disclaimer of control.
17:4.0.1.1.20.0.147.69SECTION 270.8b-23 - 270.8b-24
   270.8b-23--270.8b-24 [Reserved]
17:4.0.1.1.20.0.147.70SECTION 270.8b-25
   270.8b-25 Extension of time for furnishing information.
17:4.0.1.1.20.0.147.71SECTION 270.8b-30
   270.8b-30 Additional exhibits.
17:4.0.1.1.20.0.147.72SECTION 270.8b-31
   270.8b-31 Omission of substantially identical documents.
17:4.0.1.1.20.0.147.73SECTION 270.8b-32
   270.8b-32 [Reserved]
17:4.0.1.1.20.0.147.74SECTION 270.8f-1
   270.8f-1 Deregistration of certain registered investment companies.
17:4.0.1.1.20.0.147.75SECTION 270.10b-1
   270.10b-1 Definition of regular broker or dealer.
17:4.0.1.1.20.0.147.76SECTION 270.10e-1
   270.10e-1 Death, disqualification, or bona fide resignation of directors.
17:4.0.1.1.20.0.147.77SECTION 270.10f-1
   270.10f-1 Conditional exemption of certain underwriting transactions.
17:4.0.1.1.20.0.147.78SECTION 270.10f-2
   270.10f-2 Exercise of warrants or rights received on portfolio securities.
17:4.0.1.1.20.0.147.79SECTION 270.10f-3
   270.10f-3 Exemption for the acquisition of securities during the existence of an underwriting or selling syndicate.
17:4.0.1.1.20.0.147.80SECTION 270.11a-1
   270.11a-1 Definition of “exchange” for purposes of section 11 of the Act.
17:4.0.1.1.20.0.147.81SECTION 270.11a-2
   270.11a-2 Offers of exchange by certain registered separate accounts or others the terms of which do not require prior Commission approval.
17:4.0.1.1.20.0.147.82SECTION 270.11a-3
   270.11a-3 Offers of exchange by open-end investment companies other than separate accounts.
17:4.0.1.1.20.0.147.83SECTION 270.12b-1
   270.12b-1 Distribution of shares by registered open-end management investment company.
17:4.0.1.1.20.0.147.84SECTION 270.12d1-1
   270.12d1-1 Exemptions for investments in money market funds.
17:4.0.1.1.20.0.147.85SECTION 270.12d1-2
   270.12d1-2 Exemptions for investment companies relying on section 12(d)(1)(G) of the Act.
17:4.0.1.1.20.0.147.86SECTION 270.12d1-3
   270.12d1-3 Exemptions for investment companies relying on section 12(d)(1)(F) of the Act.
17:4.0.1.1.20.0.147.87SECTION 270.12d2-1
   270.12d2-1 Definition of insurance company for purposes of sections 12(d)(2) and 12(g) of the Act.
17:4.0.1.1.20.0.147.88SECTION 270.12d3-1
   270.12d3-1 Exemption of acquisitions of securities issued by persons engaged in securities related businesses.
17:4.0.1.1.20.0.147.89SECTION 270.13a-1
   270.13a-1 Exemption for change of status by temporarily diversified company.
17:4.0.1.1.20.0.147.90SECTION 270.14a-1
   270.14a-1 Use of notification pursuant to regulation E under the Securities Act of 1933.
17:4.0.1.1.20.0.147.91SECTION 270.14a-2
   270.14a-2 Exemption from section 14(a) of the Act for certain registered separate accounts and their principal underwriters.
17:4.0.1.1.20.0.147.92SECTION 270.14a-3
   270.14a-3 Exemption from section 14(a) of the Act for certain registered unit investment trusts and their principal underwriters.
17:4.0.1.1.20.0.147.93SECTION 270.15a-1
   270.15a-1 Exemption from stockholders' approval of certain small investment advisory contracts.
17:4.0.1.1.20.0.147.94SECTION 270.15a-2
   270.15a-2 Annual continuance of contracts.
17:4.0.1.1.20.0.147.95SECTION 270.15a-3
   270.15a-3 Exemption for initial period of investment adviser of certain registered separate accounts from requirement of security holder approval of investment advisory contract.
17:4.0.1.1.20.0.147.96SECTION 270.15a-4
   270.15a-4 Temporary exemption for certain investment advisers.
17:4.0.1.1.20.0.147.97SECTION 270.16a-1
   270.16a-1 Exemption for initial period of directors of certain registered accounts from requirements of election by security holders.
17:4.0.1.1.20.0.147.98SECTION 270.17a-1
   270.17a-1 Exemption of certain underwriting transactions exempted by § 270.10f-1.
17:4.0.1.1.20.0.147.99SECTION 270.17a-2
   270.17a-2 Exemption of certain purchase, sale, or borrowing transactions.
17:4.0.1.1.20.0.147.100SECTION 270.17a-3
   270.17a-3 Exemption of transactions with fully owned subsidiaries.
17:4.0.1.1.20.0.147.101SECTION 270.17a-4
   270.17a-4 Exemption of transactions pursuant to certain contracts.
17:4.0.1.1.20.0.147.102SECTION 270.17a-5
   270.17a-5 Pro rata distribution neither “sale” nor “purchase.”
17:4.0.1.1.20.0.147.103SECTION 270.17a-6
   270.17a-6 Exemption for transactions with portfolio affiliates.
17:4.0.1.1.20.0.147.104SECTION 270.17a-7
   270.17a-7 Exemption of certain purchase or sale transactions between an investment company and certain affiliated persons thereof.
17:4.0.1.1.20.0.147.105SECTION 270.17a-8
   270.17a-8 Mergers of affiliated companies.
17:4.0.1.1.20.0.147.106SECTION 270.17a-9
   270.17a-9 Purchase of certain securities from a money market fund by an affiliate, or an affiliate of an affiliate.
17:4.0.1.1.20.0.147.107SECTION 270.17a-10
   270.17a-10 Exemption for transactions with certain subadvisory affiliates.
17:4.0.1.1.20.0.147.108SECTION 270.17d-1
   270.17d-1 Applications regarding joint enterprises or arrangements and certain profit-sharing plans.
17:4.0.1.1.20.0.147.109SECTION 270.17d-2
   270.17d-2 Form for report by small business investment company and affiliated bank.
17:4.0.1.1.20.0.147.110SECTION 270.17d-3
   270.17d-3 Exemption relating to certain joint enterprises or arrangements concerning payment for distribution of shares of a registered open-end management investment company.
17:4.0.1.1.20.0.147.111SECTION 270.17e-1
   270.17e-1 Brokerage transactions on a securities exchange.
17:4.0.1.1.20.0.147.112SECTION 270.17f-1
   270.17f-1 Custody of securities with members of national securities exchanges.
17:4.0.1.1.20.0.147.113SECTION 270.17f-2
   270.17f-2 Custody of investments by registered management investment company.
17:4.0.1.1.20.0.147.114SECTION 270.17f-3
   270.17f-3 Free cash accounts for investment companies with bank custodians.
17:4.0.1.1.20.0.147.115SECTION 270.17f-4
   270.17f-4 Custody of investment company assets with a securities depository.
17:4.0.1.1.20.0.147.116SECTION 270.17f-5
   270.17f-5 Custody of investment company assets outside the United States.
17:4.0.1.1.20.0.147.117SECTION 270.17f-6
   270.17f-6 Custody of investment company assets with Futures Commission Merchants and Commodity Clearing Organizations.
17:4.0.1.1.20.0.147.118SECTION 270.17f-7
   270.17f-7 Custody of investment company assets with a foreign securities depository.
17:4.0.1.1.20.0.147.119SECTION 270.17g-1
   270.17g-1 Bonding of officers and employees of registered management investment companies.
17:4.0.1.1.20.0.147.120SECTION 270.17j-1
   270.17j-1 Personal investment activities of investment company personnel.
17:4.0.1.1.20.0.147.121SECTION 270.18c-1
   270.18c-1 Exemption of privately held indebtedness.
17:4.0.1.1.20.0.147.122SECTION 270.18c-2
   270.18c-2 Exemptions of certain debentures issued by small business investment companies.
17:4.0.1.1.20.0.147.123SECTION 270.18f-1
   270.18f-1 Exemption from certain requirements of section 18(f)(1) (of the Act) for registered open-end investment companies which have the right to redeem in kind.
17:4.0.1.1.20.0.147.124SECTION 270.18f-2
   270.18f-2 Fair and equitable treatment for holders of each class or series of stock of series investment companies.
17:4.0.1.1.20.0.147.125SECTION 270.18f-3
   270.18f-3 Multiple class companies.
17:4.0.1.1.20.0.147.126SECTION 270.19a-1
   270.19a-1 Written statement to accompany dividend payments by management companies.
17:4.0.1.1.20.0.147.127SECTION 270.19b-1
   270.19b-1 Frequency of distribution of capital gains.
17:4.0.1.1.20.0.147.128SECTION 270.20a-1
   270.20a-1 Solicitation of proxies, consents and authorizations.
17:4.0.1.1.20.0.147.129SECTION 270.20a-2 - 270.20a-4
   270.20a-2--270.20a-4 [Reserved]
17:4.0.1.1.20.0.147.130SECTION 270.22c-1
   270.22c-1 Pricing of redeemable securities for distribution, redemption and repurchase.
17:4.0.1.1.20.0.147.131SECTION 270.22c-2
   270.22c-2 Redemption fees for redeemable securities.
17:4.0.1.1.20.0.147.132SECTION 270.22d-1
   270.22d-1 Exemption from section 22(d) to permit sales of redeemable securities at prices which reflect sales loads set pursuant to a schedule.
17:4.0.1.1.20.0.147.133SECTION 270.22d-2
   270.22d-2 Exemption from section 22(d) for certain registered separate accounts.
17:4.0.1.1.20.0.147.134SECTION 270.22e-1
   270.22e-1 Exemption from section 22(e) of the Act during annuity payment period of variable annuity contracts participating in certain registered separate accounts.
17:4.0.1.1.20.0.147.135SECTION 270.22e-2
   270.22e-2 Pricing of redemption requests in accordance with Rule 22c-1.
17:4.0.1.1.20.0.147.136SECTION 270.22e-3
   270.22e-3 Exemption for liquidation of money market funds.
17:4.0.1.1.20.0.147.137SECTION 270.22e-4
   270.22e-4 Liquidity risk management programs.
17:4.0.1.1.20.0.147.138SECTION 270.23c-1
   270.23c-1 Repurchase of securities by closed-end companies.
17:4.0.1.1.20.0.147.139SECTION 270.23c-2
   270.23c-2 Call and redemption of securities issued by registered closed-end companies.
17:4.0.1.1.20.0.147.140SECTION 270.23c-3
   270.23c-3 Repurchase offers by closed-end companies.
17:4.0.1.1.20.0.147.141SECTION 270.24b-1
   270.24b-1 Definitions.
17:4.0.1.1.20.0.147.142SECTION 270.24b-2
   270.24b-2 Filing copies of sales literature.
17:4.0.1.1.20.0.147.143SECTION 270.24b-3
   270.24b-3 Sales literature deemed filed.
17:4.0.1.1.20.0.147.144SECTION 270.24b-4
   270.24b-4 Filing copies of covered investment fund research reports.
17:4.0.1.1.20.0.147.145SECTION 270.24e-1
   270.24e-1 Filing of certain prospectuses as post-effective amendments to registration statements under the Securities Act of 1933.
17:4.0.1.1.20.0.147.146SECTION 270.24f-2
   270.24f-2 Registration under the Securities Act of 1933 of certain investment company securities.
17:4.0.1.1.20.0.147.147SECTION 270.26a-1
   270.26a-1 Payment of administrative fees to the depositor or principal underwriter of a unit investment trust; exemptive relief for separate accounts.
17:4.0.1.1.20.0.147.148SECTION 270.26a-2
   270.26a-2 Exemptions from certain provisions of sections 26 and 27 for registered separate accounts and others regarding custodianship of and deduction of certain fees and charges from the assets of such accounts.
17:4.0.1.1.20.0.147.149SECTION 270.27a-1
   270.27a-1 Conditions for compliance with and exemptions from certain provisions of section 27(a)(1) and section 27(h)(1) of the Act for certain registered separate accounts.
17:4.0.1.1.20.0.147.150SECTION 270.27a-2
   270.27a-2 Exemption from section 27(a)(3) and section 27(h)(3) of the Act for certain registered separate accounts.
17:4.0.1.1.20.0.147.151SECTION 270.27a-3
   270.27a-3 Exemption from section 27(a)(4) and section 27(h)(5) of the Act for certain registered separate accounts.
17:4.0.1.1.20.0.147.152SECTION 270.27c-1
   270.27c-1 Exemption from section 27(c)(1) and section 27(d) of the Act during annuity payment period of variable annuity contracts participating in certain registered separate accounts.
17:4.0.1.1.20.0.147.153SECTION 270.27d-1
   270.27d-1 Reserve requirements for principal underwriters and depositors to carry out the obligations to refund charges required by section 27(d) and section 27(f) of the Act.
17:4.0.1.1.20.0.147.154SECTION 270.27d-2
   270.27d-2 Insurance company undertaking in lieu of segregated trust account.
17:4.0.1.1.20.0.147.155SECTION 270.27e-1
   270.27e-1 Requirements for notice to be mailed to certain purchasers of periodic payment plan certificates sold subject to section 27(d) of the Act.
17:4.0.1.1.20.0.147.156SECTION 270.27f-1
   270.27f-1 Notice of right of withdrawal required to be mailed to periodic payment plan certificate holders and exemption from section 27(f) for certain periodic payment plan certificates.
17:4.0.1.1.20.0.147.157SECTION 270.27g-1
   270.27g-1 Election to be governed by section 27(h).
17:4.0.1.1.20.0.147.158SECTION 270.27h-1
   270.27h-1 Exemptions from section 27(h)(4) for certain payments.
17:4.0.1.1.20.0.147.159SECTION 270.27i-1
   270.27i-1 xxx
17:4.0.1.1.20.0.147.160SECTION 270.28b-1
   270.28b-1 Investment in loans partially or wholly guaranteed under the Servicemen's Readjustment Act of 1944, as amended.
17:4.0.1.1.20.0.147.161SECTION 270.30a-1
   270.30a-1 Annual report for registered investment companies.
17:4.0.1.1.20.0.147.162SECTION 270.30a-2
   270.30a-2 Certification of Form N-CSR.
17:4.0.1.1.20.0.147.163SECTION 270.30a-3
   270.30a-3 Controls and procedures.
17:4.0.1.1.20.0.147.164SECTION 270.30a-4
   270.30a-4 Annual report for wholly-owned registered management investment company subsidiary of registered management investment company.
17:4.0.1.1.20.0.147.165SECTION 270.30b1-1 - 270.b1-3
   270.30b1-1--270.b1-3 [Reserved]
17:4.0.1.1.20.0.147.166SECTION 270.30b1-4
   270.30b1-4 Report of proxy voting record.
17:4.0.1.1.20.0.147.167SECTION 270.30b1-5
   270.30b1-5 [Reserved]
17:4.0.1.1.20.0.147.168SECTION 270.30b1-7
   270.30b1-7 Monthly report for money market funds.
17:4.0.1.1.20.0.147.169SECTION 270.30b1-8
   270.30b1-8 Current report for money market funds.
17:4.0.1.1.20.0.147.170SECTION 270.30b1-9
   270.30b1-9 Monthly report.
17:4.0.1.1.20.0.147.171SECTION 270.30b1-9(T)
   270.30b1-9(T) Temporary rule regarding monthly report.
17:4.0.1.1.20.0.147.172SECTION 270.30b1-10
   270.30b1-10 Current report for open-end management investment companies.
17:4.0.1.1.20.0.147.173SECTION 270.30b2-1
   270.30b2-1 Filing of reports to stockholders.
17:4.0.1.1.20.0.147.174SECTION 270.30d-1
   270.30d-1 Filing of copies of reports to shareholders.
17:4.0.1.1.20.0.147.175SECTION 270.30e-1
   270.30e-1 Reports to stockholders of management companies.
17:4.0.1.1.20.0.147.176SECTION 270.30e-2
   270.30e-2 Reports to shareholders of unit investment trusts.
17:4.0.1.1.20.0.147.177SECTION 270.30e-3
   270.30e-3 Internet availability of reports to shareholders.
17:4.0.1.1.20.0.147.178SECTION 270.30h-1
   270.30h-1 Applicability of section 16 of the Exchange Act to section 30(h).
17:4.0.1.1.20.0.147.179SECTION 270.31a-1
   270.31a-1 Records to be maintained by registered investment companies, certain majority-owned subsidiaries thereof, and other persons having transactions with registered investment companies.
17:4.0.1.1.20.0.147.180SECTION 270.31a-2
   270.31a-2 Records to be preserved by registered investment companies, certain majority-owned subsidiaries thereof, and other persons having transactions with registered investment companies.
17:4.0.1.1.20.0.147.181SECTION 270.31a-3
   270.31a-3 Records prepared or maintained by other than person required to maintain and preserve them.
17:4.0.1.1.20.0.147.182SECTION 270.32a-1
   270.32a-1 Exemption of certain companies from affiliation provisions of section 32(a).
17:4.0.1.1.20.0.147.183SECTION 270.32a-2
   270.32a-2 Exemption for initial period from vote of security holders on independent public accountant for certain registered separate accounts.
17:4.0.1.1.20.0.147.184SECTION 270.32a-3
   270.32a-3 Exemption from provision of section 32(a)(1) regarding the time period during which a registered management investment company must select an independent public accountant.
17:4.0.1.1.20.0.147.185SECTION 270.32a-4
   270.32a-4 Independent audit committees.
17:4.0.1.1.20.0.147.186SECTION 270.34b-1
   270.34b-1 Sales literature deemed to be misleading.
17:4.0.1.1.20.0.147.187SECTION 270.35d-1
   270.35d-1 Investment company names.
17:4.0.1.1.20.0.147.188SECTION 270.38a-1
   270.38a-1 Compliance procedures and practices of certain investment companies.
17:4.0.1.1.20.0.147.189SECTION 270.45a-1
   270.45a-1 Confidential treatment of names and addresses of dealers of registered investment company securities.
17:4.0.1.1.20.0.147.190SECTION 270.55a-1
   270.55a-1 Investment activities of business development companies.
17:4.0.1.1.20.0.147.191SECTION 270.57b-1
   270.57b-1 Exemption for downstream affiliates of business development companies.
17:4.0.1.1.20.0.147.192SECTION 270.60a-1
   270.60a-1 Exemption for certain business development companies.