Title 17--Commodity and Securities Exchanges

CHAPTER II--SECURITIES AND EXCHANGE COMMISSION (CONTINUED)

PART 275--RULES AND REGULATIONS, INVESTMENT ADVISERS ACT OF 1940

TEXT PDF275.0-2 General procedures for serving non-residents.
TEXT PDF275.0-3 References to rules and regulations.
TEXT PDF275.0-4 General requirements of papers and applications.
TEXT PDF275.0-5 Procedure with respect to applications and other matters.
TEXT PDF275.0-6 Incorporation by reference in applications.
TEXT PDF275.0-7 Small entities under the Investment Advisers Act for purposes of the Regulatory Flexibility Act.
TEXT PDF275.202(a)(1)-1 Certain transactions not deemed assignments.
TEXT PDF275.202(a)(11)-1 Certain broker-dealers.
TEXT PDF275.203-1 Application for investment adviser registration.
TEXT PDF275.203-2 Withdrawal from investment adviser registration.
TEXT PDF275.203-3 Hardship exemptions.
TEXT PDF275.203(b)(3)-1 Definition of ``client'' of an investment adviser.
TEXT PDF275.203(b)(3)-2 Methods for counting clients in certain private funds.
TEXT PDF275.203A-1 Eligibility for SEC registration; switching to or from SEC registration.
TEXT PDF275.203A-2 Exemptions from prohibition on Commission registration.
TEXT PDF275.203A-3 Definitions.
TEXT PDF275.203A-4 Investment advisers registered with a State securities commission.
TEXT PDF275.204-1 Amendments to application for registration.
TEXT PDF275.204-2 Books and records to be maintained by investment advisers.
TEXT PDF275.204-3 Written disclosure statements.
TEXT PDF275.204A-1 Investment adviser codes of ethics.
TEXT PDF275.205-1 Definition of ``investment performance'' of an investment company and ``investment record'' of an appropriate index of securities prices.
TEXT PDF275.205-2 Definition of ``specified period'' over which the asset value of the company or fund under management is averaged.
TEXT PDF275.205-3 Exemption from the compensation prohibition of section 205(a)(1) for investment advisers.
TEXT PDF275.206(3)-1 Exemption of investment advisers registered as broker-dealers in connection with the provision of certain investment advisory services.
TEXT PDF275.206(3)-2 Agency cross transactions for advisory clients.
TEXT PDF275.206(4)-1 Advertisements by investment advisers.
TEXT PDF275.206(4)-2 Custody of funds or securities of clients by investment advisers.
TEXT PDF275.206(4)-3 Cash payments for client solicitations.
TEXT PDF275.206(4)-4 Financial and disciplinary information that investment advisers must disclose to clients.
TEXT PDF275.206(4)-6 Proxy voting.
TEXT PDF275.206(4)-7 Compliance procedures and practices.
TEXT PDF275.222-1 Definitions.
TEXT PDF275.222-2 Definition of ``client'' for purposes of the national de minimis standard.

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