CFR

PART 270—RULES AND REGULATIONS, INVESTMENT COMPANY ACT OF 1940

• 270.0-1—Definition of terms used in this part.
• 270.0-2—General requirements of papers and applications.
• 270.0-3—Amendments to registration statements and reports.
• 270.0-4—Incorporation by reference.
• 270.0-5—Procedure with respect to applications and other matters.
• 270.0-8—Payment of fees.
• 270.0-10—Small entities under the Investment Company Act for purposes of the Regulatory Flexibility Act.
• 270.0-11—Customer identification programs.
• 270.2a-1—Valuation of portfolio securities in special cases.
• 270.2a-2—Effect of eliminations upon valuation of portfolio securities.
• 270.2a3-1—Investment company limited partners not deemed affiliated persons.
• 270.2a-4—Definition of “current net asset value” for use in computing periodically the current price of redeemable security.
• 270.2a-6—Certain transactions not deemed assignments.
• 270.2a-7—Money market funds.
• 270.2a19-2—Investment company general partners not deemed interested persons.
• 270.2a19-3—Certain investment company directors not considered interested persons because of ownership of index fund securities.
• 270.2a41-1—Valuation of standby commitments by registered investment companies.
• 270.2a-46—Certain issuers as eligible portfolio companies.
• 270.2a51-1—Definition of investments for purposes of section 2(a)(51) (definition of “qualified purchaser”); certain calculations.
• 270.2a51-2—Definitions of beneficial owner for certain purposes under sections 2(a)(51) and 3(c)(7) and determining indirect ownership interests.
• 270.2a51-3—Certain companies as qualified purchasers.
• 270.3a-1—Certain prima facie investment companies.
• 270.3a-2—Transient investment companies.
• 270.3a-3—Certain investment companies owned by companies which are not investment companies.
• 270.3a-4—Status of investment advisory programs.
• 270.3a-5—Exemption for subsidiaries organized to finance the operations of domestic or foreign companies.
• 270.3a-6—Foreign banks and foreign insurance companies.
• 270.3a-7—Issuers of asset-backed securities.
• 270.3a-8—Certain research and development companies.
• 270.3c-1—Definition of beneficial ownership for certain 3(c)(1) funds.
• 270.3c-2—Definition of beneficial ownership in small business investment companies.
• 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.
• 270.3c-4—Definition of “common trust fund” as used in section 3(c)(3) of the Act.
• 270.3c-5—Beneficial ownership by knowledgeable employees and certain other persons.
• 270.3c-6—Certain transfers of interests in section 3(c)(1) and section 3(c)(7) funds.
• 270.5b-1—Definition of “total assets.”
• 270.5b-2—Exclusion of certain guarantees as securities of the guarantor.
• 270.5b-3—Acquisition of repurchase agreement or refunded security treated as acquisition of underlying securities.
• 270.6b-1—Exemption of employees' securities company pending determination of application.
• 270.6c-3—Exemptions for certain registered variable life insurance separate accounts.
• 270.6c-6—Exemption for certain registered separate accounts and other persons.
• 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 Progra
• 270.6c-8—Exemptions for registered separate accounts to impose a deferred sales load and to deduct certain administrative charges.
• 270.6c-10—Exemption for certain open-end management investment companies to impose deferred sales loads.
• 270.6d-1—Exemption for certain closed-end investment companies.
• 270.6e-2—Exemptions for certain variable life insurance separate accounts.
• 270.6e-3(T)—Temporary exemptions for flexible premium variable life insurance separate accounts.
• 270.7d-1—Specification of conditions and arrangements for Canadian management investment companies requesting order permitting registration.
• 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.
• 270.8b-1—Scope of §§ 270.8b-1 to 270.8b-33.
• 270.8b-2—Definitions.
• 270.8b-3—Title of securities.
• 270.8b-4—Interpretation of requirements.
• 270.8b-5—Time of filing original registration statement.
• 270.8b-10—Requirements as to proper form.
• 270.8b-11—Number of copies; signatures; binding.
• 270.8b-12—Requirements as to paper, printing and language.
• 270.8b-13—Preparation of registration statement or report.
• 270.8b-14—Riders; inserts.
• 270.8b-15—Amendments.
• 270.8b-16—Amendments to registration statement.
• 270.8b-20—Additional information.
• 270.8b-21—Information unknown or not available.
• 270.8b-22—Disclaimer of control.
• 270.8b-23—Incorporation by reference.
• 270.8b-24—Summaries or outlines of documents.
• 270.8b-25—Extension of time for furnishing information.
• 270.8b-30—Additional exhibits.
• 270.8b-31—Omission of substantially identical documents.
• 270.8b-32—Incorporation of exhibits by reference.
• 270.8b-33—XBRL-Related Documents.
• 270.8f-1—Deregistration of certain registered investment companies.
• 270.10b-1—Definition of regular broker or dealer.
• 270.10e-1—Death, disqualification, or bona fide resignation of directors.
• 270.10f-1—Conditional exemption of certain underwriting transactions.
• 270.10f-2—Exercise of warrants or rights received on portfolio securities.
• 270.10f-3—Exemption for the acquisition of securities during the existence of an underwriting or selling syndicate.
• 270.11a-1—Definition of “exchange” for purposes of section 11 of the Act.
• 270.11a-2—Offers of exchange by certain registered separate accounts or others the terms of which do not require prior Commission approval.
• 270.11a-3—Offers of exchange by open-end investment companies other than separate accounts.
• 270.12b-1—Distribution of shares by registered open-end management investment company.
• 270.12d1-1—Exemptions for investments in money market funds.
• 270.12d1-2—Exemptions for investment companies relying on section 12(d)(1)(G) of the Act.
• 270.12d1-3—Exemptions for investment companies relying on section 12(d)(1)(F) of the Act.
• 270.12d2-1—Definition of insurance company for purposes of sections 12(d)(2) and 12(g) of the Act.
• 270.12d3-1—Exemption of acquisitions of securities issued by persons engaged in securities related businesses.
• 270.13a-1—Exemption for change of status by temporarily diversified company.
• 270.14a-1—Use of notification pursuant to regulation E under the Securities Act of 1933.
• 270.14a-2—Exemption from section 14(a) of the Act for certain registered separate accounts and their principal underwriters.
• 270.14a-3—Exemption from section 14(a) of the Act for certain registered unit investment trusts and their principal underwriters.
• 270.15a-1—Exemption from stockholders' approval of certain small investment advisory contracts.
• 270.15a-2—Annual continuance of contracts.
• 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.
• 270.15a-4—Temporary exemption for certain investment advisers.
• 270.16a-1—Exemption for initial period of directors of certain registered accounts from requirements of election by security holders.
• 270.17a-1—Exemption of certain underwriting transactions exempted by § 270.10f-1.
• 270.17a-2—Exemption of certain purchase, sale, or borrowing transactions.
• 270.17a-3—Exemption of transactions with fully owned subsidiaries.
• 270.17a-4—Exemption of transactions pursuant to certain contracts.
• 270.17a-5—Pro rata distribution neither “sale” nor “purchase.”
• 270.17a-6—Exemption for transactions with portfolio affiliates.
• 270.17a-7—Exemption of certain purchase or sale transactions between an investment company and certain affiliated persons thereof.
• 270.17a-8—Mergers of affiliated companies.
• 270.17a-9—Purchase of certain securities from a money market fund by an affiliate, or an affiliate of an affiliate.
• 270.17a-10—Exemption for transactions with certain subadvisory affiliates.
• 270.17d-1—Applications regarding joint enterprises or arrangements and certain profit-sharing plans.
• 270.17d-2—Form for report by small business investment company and affiliated bank.
• 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.
• 270.17e-1—Brokerage transactions on a securities exchange.
• 270.17f-1—Custody of securities with members of national securities exchanges.
• 270.17f-2—Custody of investments by registered management investment company.
• 270.17f-3—Free cash accounts for investment companies with bank custodians.
• 270.17f-4—Custody of investment company assets with a securities depository.
• 270.17f-5—Custody of investment company assets outside the United States.
• 270.17f-6—Custody of investment company assets with Futures Commission Merchants and Commodity Clearing Organizations.
• 270.17f-7—Custody of investment company assets with a foreign securities depository.
• 270.17g-1—Bonding of officers and employees of registered management investment companies.
• 270.17j-1—Personal investment activities of investment company personnel.
• 270.18c-1—Exemption of privately held indebtedness.
• 270.18c-2—Exemptions of certain debentures issued by small business investment companies.
• 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.
• 270.18f-2—Fair and equitable treatment for holders of each class or series of stock of series investment companies.
• 270.18f-3—Multiple class companies.
• 270.19a-1—Written statement to accompany dividend payments by management companies.
• 270.19b-1—Frequency of distribution of capital gains.
• 270.20a-1—Solicitation of proxies, consents and authorizations.
• 270.22c-1—Pricing of redeemable securities for distribution, redemption and repurchase.
• 270.22c-2—Redemption fees for redeemable securities.
• 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.
• 270.22d-2—Exemption from section 22(d) for certain registered separate accounts.
• 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.
• 270.22e-2—Pricing of redemption requests in accordance with Rule 22c-1.
• 270.22e-3—Exemption for liquidation of money market funds.
• 270.23c-1—Repurchase of securities by closed-end companies.
• 270.23c-2—Call and redemption of securities issued by registered closed-end companies.
• 270.23c-3—Repurchase offers by closed-end companies.
• 270.24b-1—Definitions.
• 270.24b-2—Filing copies of sales literature.
• 270.24b-3—Sales literature deemed filed.
• 270.24e-1—Filing of certain prospectuses as post-effective amendments to registration statements under the Securities Act of 1933.
• 270.24f-2—Registration under the Securities Act of 1933 of certain investment company securities.
• 270.26a-1—Payment of administrative fees to the depositor or principal underwriter of a unit investment trust; exemptive relief for separate accounts.
• 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 asse
• 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.
• 270.27a-2—Exemption from section 27(a)(3) and section 27(h)(3) of the Act for certain registered separate accounts.
• 270.27a-3—Exemption from section 27(a)(4) and section 27(h)(5) of the Act for certain registered separate accounts.
• 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.
• 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.
• 270.27d-2—Insurance company undertaking in lieu of segregated trust account.
• 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.
• 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.
• 270.27g-1—Election to be governed by section 27(h).
• 270.27h-1—Exemptions from section 27(h)(4) for certain payments.
• 270.28b-1—Investment in loans partially or wholly guaranteed under the Servicemen's Readjustment Act of 1944, as amended.
• 270.30a-1—Annual reports for unit investment trusts.
• 270.30a-2—Certification of Form N-CSR and Form N-Q.
• 270.30a-3—Controls and procedures.
• 270.30b1-1—Semi-annual report for registered management investment companies.
• 270.30b1-2—Semi-annual report for totally-owned registered management investment company subsidiary of registered management investment company.
• 270.30b1-3—Transition reports.
• 270.30b1-4—Report of proxy voting record.
• 270.30b1-5—Quarterly report.
• 270.30b1-6T—Weekly portfolio report for certain money market funds.
• 270.30b1-7—Monthly report for money market funds.
• 270.30b2-1—Filing of reports to stockholders.
• 270.30d-1—Filing of copies of reports to shareholders.
• 270.30e-1—Reports to stockholders of management companies.
• 270.30e-2—Reports to shareholders of unit investment trusts.
• 270.30h-1—Applicability of section 16 of the Exchange Act to section 30(h).
• 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.
• 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.
• 270.31a-3—Records prepared or maintained by other than person required to maintain and preserve them.
• 270.32a-1—Exemption of certain companies from affiliation provisions of section 32(a).
• 270.32a-2—Exemption for initial period from vote of security holders on independent public accountant for certain registered separate accounts.
• 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.
• 270.32a-4—Independent audit committees.
• 270.34b-1—Sales literature deemed to be misleading.
• 270.35d-1—Investment company names.
• 270.38a-1—Compliance procedures and practices of certain investment companies.
• 270.45a-1—Confidential treatment of names and addresses of dealers of registered investment company securities.
• 270.55a-1—Investment activities of business development companies.
• 270.57b-1—Exemption for downstream affiliates of business development companies.
• 270.60a-1—Exemption for certain business development companies.

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