CFR
- Title 1 - General Provisions
- Title 2 - Grants and Agreements
- Title 3 - The President
- Title 4 - Accounts
- Title 5 - Administrative Personnel
- Title 6 - Domestic Security
- Title 7 - Agriculture
- Title 8 - Aliens and Nationality
- Title 9 - Animals and Animal Products
- Title 10 - Energy
- Title 11 - Federal Elections
- Title 12 - Banks and Banking
- Title 13 - Business Credit and Assistance
- Title 14 - Aeronautics and Space
- Title 15 - Commerce and Foreign Trade
- Title 16 - Commercial Practices
- Title 17 - Commodity and Securities Exchanges
- Title 18 - Conservation of Power and Water Resources
- Title 19 - Customs Duties
- Title 20 - Employees' Benefits
- Title 21 - Food and Drugs
- Title 22 - Foreign Relations
- Title 23 - Highways
- Title 24 - Housing and Urban Development
- Title 25 - Indians
- Title 26 - Internal Revenue
- Title 27 - Alcohol, Tobacco Products and Firearms
- Title 28 - Judicial Administration
- Title 29 - Labor
- Title 30 - Mineral Resources
- Title 31 - Money and Finance: Treasury
- Title 32 - National Defense
- Title 33 - Navigation and Navigable Waters
- Title 34 - Education
- Title 35 - Panama Canal
- Title 36 - Parks, Forests, and Public Property
- Title 37 - Patents, Trademarks, and Copyrights
- Title 38 - Pensions, Bonuses, and Veterans' Relief
- Title 39 - Postal Service
- Title 40 - Protection of Environment
- Title 41 - Public Contracts and Property Management
- Title 42 - Public Health
- Title 43 - Public Lands: Interior
- Title 44 - Emergency Management and Assistance
- Title 45 - Public Welfare
- Title 46 - Shipping
- Title 47 - Telecommunication
- Title 48 - Federal Acquisition Regulations System
- Title 49 - Transportation
- Title 50 - Wildlife and Fisheries
PART 275—RULES AND REGULATIONS, INVESTMENT ADVISERS ACT OF 1940
- 275.0-2—General procedures for serving non-residents.
- 275.0-3—References to rules and regulations.
- 275.0-4—General requirements of papers and applications.
- 275.0-5—Procedure with respect to applications and other matters.
- 275.0-6—Incorporation by reference in applications.
- 275.0-7—Small entities under the Investment Advisers Act for purposes of the Regulatory Flexibility Act.
- 275.202(a)(1)-1—Certain transactions not deemed assignments.
- 275.202(a)(11)-1—Certain broker-dealers.
- 275.203-1—Application for investment adviser registration.
- 275.203-2—Withdrawal from investment adviser registration.
- 275.203-3—Hardship exemptions.
- 275.203(b)(3)-1—Definition of “client” of an investment adviser.
- 275.203(b)(3)-2—Methods for counting clients in certain private funds.
- 275.203A-1—Eligibility for SEC registration; switching to or from SEC registration.
- 275.203A-2—Exemptions from prohibition on Commission registration.
- 275.203A-3—Definitions.
- 275.203A-4—Investment advisers registered with a State securities commission.
- 275.204-1—Amendments to application for registration.
- 275.204-2—Books and records to be maintained by investment advisers.
- 275.204-3—Delivery of brochures and brochure supplements.
- 275.204A-1—Investment adviser codes of ethics.
- 275.205-1—Definition of “investment performance” of an investment company and “investment record” of an appropriate index of securities prices.
- 275.205-2—Definition of “specified period” over which the asset value of the company or fund under management is averaged.
- 275.205-3—Exemption from the compensation prohibition of section 205(a)(1) for investment advisers.
- 275.206(3)-1—Exemption of investment advisers registered as broker-dealers in connection with the provision of certain investment advisory services.
- 275.206(3)-3T—Temporary rule for principal trades with certain advisory clients.
- 275.206(3)-2—Agency cross transactions for advisory clients.
- 275.206(4)-1—Advertisements by investment advisers.
- 275.206(4)-2—Custody of funds or securities of clients by investment advisers.
- 275.206(4)-3—Cash payments for client solicitations.
- 275.206(4)-5—Political contributions by certain investment advisers.
- 275.206(4)-6—Proxy voting.
- 275.206(4)-7—Compliance procedures and practices.
- 275.206(4)-8—Pooled investment vehicles.
- 275.222-1—Definitions.
- 275.222-2—Definition of “client” for purposes of the national de minimis standard.
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