Code of Federal Regulations > Title 17 > Chapter II > Part 270 - PART 270—RULES AND REGULATIONS, INVESTMENT COMPANY ACT OF 1940

§ 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.

§ 270.31a-4 - Records to be maintained and preserved by registered investment companies relating to fair value determinations.

§ 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.

§ 270.2a41-1 - Valuation of standby commitments by registered investment companies.

§ 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.

§ 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.

§ 270.3a-9 - Crowdfunding vehicle.

§ 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 -

§ 270.3c-6 - Certain transfers of interests in section 3(c)(1) and section 3(c)(7) funds.

§ 270.3c-7 - Inflation-adjusted definition of qualifying venture capital fund.

§ 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.

§ 270.6a-5 - Purchase of certain debt securities by companies relying on section 6(a)(5) of the Act.

§ 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 Program.

§ 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.

§ 270.6c-11 - Exchange-traded funds.

§ 270.6d-1 - Exemption for certain closed-end investment companies.

§ 270.6e-2 - Exemptions for certain variable life insurance separate accounts.

§ 270.6e-3 - 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 §through 270.8b-31.

§ 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-6 - [Reserved]

§ 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—270.8b-24 - §[Reserved]

§ 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 - [Reserved]

§ 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 - [Reserved]

§ 270.12d1-3 - Exemptions for investment companies relying on section 12(d)(1)(F) of the Act.

§ 270.12d1-4 - Exemptions for investments in certain investment companies.

§ 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.