Code of Federal Regulations > Title 17 > Chapter II > Part 275 - PART 275—RULES AND REGULATIONS, INVESTMENT ADVISERS ACT OF 1940

U.S. Code of Federal Regulations

Regulations most recently checked for updates: Aug 27, 2025

§ 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)(G)-1 - Family offices.

§ 275.202(a)(30)-1 - Foreign private advisers.

§ 275.203-1 - Application for investment adviser registration.

§ 275.203-2 - Withdrawal from investment adviser registration.

§ 275.203-3 - Hardship exemptions.

§ 275.203(l)-1 - Venture capital fund defined.

§ 275.203(m)-1 - Private fund adviser exemption.

§ 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—275.203A-6 - §[Reserved]

§ 275.204-1 - Amendments to Form ADV.

§ 275.204-2 - Books and records to be maintained by investment advisers.

§ 275.204-3 - Delivery of brochures and brochure supplements.

§ 275.204-4 - Reporting by exempt reporting advisers.

§ 275.204-5 - Delivery of Form CRS.

§ 275.204(b)-1 - Reporting by investment advisers to private funds.

§ 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)-2 - Agency cross transactions for advisory clients.

§ 275.206(4)-1 - Investment adviser marketing.

§ 275.206(4)-2 - Custody of funds or securities of clients by investment advisers.

§§ 275.206(4)-(3)—275.206(4)-4 - §[Reserved]

§ 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.