Part 275 - RULES AND REGULATIONS, INVESTMENT ADVISERS ACT OF 1940
- Section 275.0-2 - General procedures for serving non-residents
- Section 275.0-3 - References to rules and regulations
- Section 275.0-4 - General requirements of papers and applications
- Section 275.0-5 - Procedure with respect to applications and other matters
- Section 275.0-6 - Incorporation by reference in applications
- Section 275.0-7 - Small entities under the Investment Advisers Act for purposes of the Regulatory Flexibility Act
- Section 275.202(a)(1)-1 - Certain transactions not deemed assignments
- Section 275.202(a)(11)(G)-1 - Family offices
- Section 275.202(a)(30)-1 - Foreign private advisers
- Section 275.203-1 - Application for investment adviser registration
- Section 275.203-2 - Withdrawal from investment adviser registration
- Section 275.203-3 - Hardship exemptions
- Section 275.203A-1 - Eligibility for SEC registration; Switching to or from SEC registration
- Section 275.203A-2 - Exemptions from prohibition on Commission registration
- Section 275.203A-3 - Definitions
- Section 275.203A-4 - 275.203A-6 - Reserved
- Section 275.204-1 - Amendments to Form ADV
- Section 275.204(b)-1 - [Effective 3/12/2025] Reporting by investment advisers to private funds
- Section 275.204(b)-1 - [Effective until 3/12/2025] Reporting by investment advisers to private funds
- Section 275.204-2 - Books and records to be maintained by investment advisers
- Section 275.204-3 - Delivery of brochures and brochure supplements
- Section 275.204-4 - Reporting by exempt reporting advisers
- Section 275.204-5 - Delivery of Form CRS
- Section 275.204A-1 - Investment adviser codes of ethics
- Section 275.205-1 - Definition of "investment performance" of an investment company and "investment record" of an appropriate index of securities prices
- Section 275.205-2 - Definition of "specified period" over which the asset value of the company or fund under management is averaged
- Section 275.205-3 - Exemption from the compensation prohibition of section 205(a)(1) for investment advisers
- Section 275.206(3)-1 - Exemption of investment advisers registered as broker-dealers in connection with the provision of certain investment advisory services
- Section 275.206(3)-2 - Agency cross transactions for advisory clients
- Section 275.206(4)-1 - Investment adviser marketing
- Section 275.206(4)-2 - Custody of funds or securities of clients by investment advisers
- Section 275.206(4)-(3) - 275.206(4)-4 - Reserved
- Section 275.206(4)-5 - Political contributions by certain investment advisers
- Section 275.206(4)-6 - Proxy voting
- Section 275.206(4)-7 - Compliance procedures and practices
- Section 275.206(4)-8 - Pooled investment vehicles
- Section 275.206(4)-9 - Reserved
- Section 275.206(4)-10 - Private fund adviser audits
- Section 275.211(h)(1)-1 - Definitions
- Section 275.211(h)(1)-2 - Private fund quarterly statements
- Section 275.211(h)(2)-1 - Private fund adviser restricted activities
- Section 275.211(h)(2)-2 - Adviser-led secondaries
- Section 275.211(h)(2)-3 - Preferential treatment
- Section 275.222-1 - Definitions
- Section 275.222-2 - Definition of "client" for purposes of the national de minimis standard
- Section 275.203(l)-1 - Venture capital fund defined
- Section 275.203(m)-1 - Private fund adviser exemption