Part 276 - INTERPRETATIVE RELEASES RELATING TO THE INVESTMENT ADVISERS ACT OF 1940 AND GENERAL RULES AND REGULATIONS THEREUNDER

Current through October 31, 2024

Part 276 - INTERPRETATIVE RELEASES RELATING TO THE INVESTMENT ADVISERS ACT OF 1940 AND GENERAL RULES AND REGULATIONS THEREUNDER

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 1940	2	Oct. 28, 1940	11 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 1940	8	Dec. 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 1934	40	Feb. 5, 1945	11 FR 10997.
Opinion of the General Counsel relating to the use of "hedge clauses" by brokers, dealers, investment advisers, and others	58	Apr. 10, 1951	16 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 members	194	Jan. 25, 1966	31 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 members	196	Feb. 14, 1966	31 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 certificate	201	June 1, 1966	31 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 use	281	Jan. 25, 1971	36 FR 2600.
Commission's statement of factors to be considered in connection with investment company advisory contracts containing incentive arrangements	315	Apr. 19, 1972	37 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 managers	318	May 18, 1972	37 FR 9988.
Commission's decisions on advisory committee recommendations regarding commencement of enforcement proceedings and termination of staff investigations	336	Mar. 1, 1973	38 FR 5457.
Commission's statement on obligations of underwriters with respect to discretionary accounts	377	June 29, 1973	38 FR 17201.
Applicability of investment advisers act to certain publications	563	Jan. 10, 1977	42 FR 2953; 42 FR 8140.
Contingent advisory compensation arrangements	721	May 16, 1980	45 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 services	770	Aug. 13, 1981	46 FR 41771.
Statement of position of Commission's Division of Investment Management	969	Apr. 30, 1985	50 FR 19341.
Statement of staff interpretive position regarding certain rules and forms; uniform registration, disclolsure, and reporting requirements	1000	Dec. 3, 1985	50 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 services	1092	Oct. 8, 1987	52 FR 38400.
Registration of Successors to Broker-Dealers and Investment Advisors	1357	Jan. 4, 1993	58 FR 11.
Use of electronic media for delivery purposes	1562	May 9, 1996	61 FR 24651.
Statement of the Commission Regarding Use of Internet Web Sites to Offer Securities, Solicit Securities Transactions or Advertise Investment Services Offshore	1710	Mar. 23, 1998	63 FR 14814
Interpretation of Section 206(3) of the Investment Advisers Act of 1940	1732	July 17, 1998	63 FR 39508
Statement of the Commission Regarding Disclosure of Year 2000 Issues and Consequences by Public Companies, Investment Advisers, Investment Companies, and Municipal Securities Issuers	1738	July 29, 1998	63 FR 41404
Release No. IA-2969		Dec. 30, 2009	75 FR 1494
Commission Guidance Regarding the Definition of the Terms "Spouse" and "Marriage" Following the Supreme Court's Decision in United States v. Windsor	IA-4122	June 19, 2015	80 FR 37537
Commission Interpretation Regarding Standard of Conduct for Investment Advisers	IA-5248	June 5, 2019	84 FR 33681
Commission Interpretation Regarding the Solely Incidental Prong of the Broker-Dealer Exclusion from the Definition of Investment Adviser	IA-5249	June 5, 2019	84 FR 33689
Commission Guidance Regarding the Proxy Voting Responsibilities of Investment Advisers	IA-5325	Aug. 21, 2019	84 FR 47427
Supplement to Commission Guidance Regarding the Proxy Voting Responsibilities of Investment Advisers	IA-5547	Sept. 3, 2020	85 FR 55157
Supplement to Commission Guidance Regarding the Proxy Voting Responsibilities of Investment Advisers	IA-6068	July 19, 2022	87 FR 43197

Authority: 15 U.S.C. 80b et seq.