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17 CFR 270.2a-4 · a-4 Definition of “current net asset value” for use in computing periodically the current price of redeemable security.
17 CFR 270.2a-5 · a-5 Fair value determination and readily available market quotations.
17 CFR 270.2a-6 · a-6 Certain transactions not deemed assignments.
17 CFR 270.2a-7 · a-7 Money market funds.
17 CFR 270.2a19-2 · a19-2 Investment company general partners not deemed interested persons.
17 CFR 270.2a19-3 · a19-3 Certain investment company directors not considered interested persons because of ownership of index fund securities.
17 CFR 270.2a41-1 · a41-1 Valuation of standby commitments by registered investment companies.
17 CFR 270.2a-46 · a-46 Certain issuers as eligible portfolio companies.
17 CFR 270.2a51-1 · a51-1 Definition of investments for purposes of section 2(a)(51) (definition of “qualified purchaser”); certain calculations.
17 CFR 270.2a51-2 · a51-2 Definitions of beneficial owner for certain purposes under sections 2(a)(51) and 3(c)(7) and determining indirect ownership interests.
17 CFR 270.2a51-3 · a51-3 Certain companies as qualified purchasers.
17 CFR 270.3a-1 · a-1 Certain prima facie investment companies.
17 CFR 270.3a-2 · a-2 Transient investment companies.
17 CFR 270.3a-3 · a-3 Certain investment companies owned by companies which are not investment companies.
17 CFR 270.3a-4 · a-4 Status of investment advisory programs.
17 CFR 270.3a-5 · a-5 Exemption for subsidiaries organized to finance the operations of domestic or foreign companies.
17 CFR 270.3a-6 · a-6 Foreign banks and foreign insurance companies.
17 CFR 270.3a-7 · a-7 Issuers of asset-backed securities.
17 CFR 270.3a-8 · a-8 Certain research and development companies.
17 CFR 270.3a-9 · a-9 Crowdfunding vehicle.
17 CFR 270.3c-1 · c-1 Definition of beneficial ownership for certain 3(c)(1) funds.
17 CFR 270.3c-2 · c-2 Definition of beneficial ownership in small business investment companies.
17 CFR 270.3c-3 · c-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.
17 CFR 270.3c-4 · c-4 Definition of “common trust fund” as used in section 3(c)(3) of the Act.
17 CFR 270.3c-5 · c-5 Beneficial ownership by knowledgeable employees and certain other persons.
17 CFR 270.3c-6 · c-6 Certain transfers of interests in section 3(c)(1) and section 3(c)(7) funds.
17 CFR 270.3c-7 · c-7 Inflation-adjusted definition of qualifying venture capital fund.
17 CFR 270.5b-1 · b-1 Definition of “total assets.”
17 CFR 270.5b-2 · b-2 Exclusion of certain guarantees as securities of the guarantor.
17 CFR 270.5b-3 · b-3 Acquisition of repurchase agreement or refunded security treated as acquisition of underlying securities.
17 CFR 270.6a-5 · a-5 Purchase of certain debt securities by companies relying on section 6(a)(5) of the Act.
17 CFR 270.6b-1 · b-1 Exemption of employees' securities company pending determination of application.
17 CFR 270.6c-3 · c-3 Exemptions for certain registered variable life insurance separate accounts.
17 CFR 270.6c-6 · c-6 Exemption for certain registered separate accounts and other persons.
17 CFR 270.6c-7 · c-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.
17 CFR 270.6c-8 · c-8 Exemptions for registered separate accounts to impose a deferred sales load and to deduct certain administrative charges.
17 CFR 270.6c-10 · c-10 Exemption for certain open-end management investment companies to impose deferred sales loads.
17 CFR 270.6c-11 · c-11 Exchange-traded funds.
17 CFR 270.6d-1 · d-1 Exemption for certain closed-end investment companies.
17 CFR 270.6e-2 · e-2 Exemptions for certain variable life insurance separate accounts.
17 CFR 270.6e-3 · e-3 Exemptions for flexible premium variable life insurance separate accounts.
17 CFR 270.7d-1 · d-1 Specification of conditions and arrangements for Canadian management investment companies requesting order permitting registration.
17 CFR 270.7d-2 · d-2 Definition of “public offering” as used in section 7(d) of the Act with respect to certain Canadian tax-deferred retirement savings accounts.
17 CFR 270.8b-1 · b-1 Scope of §§ 270.8b-1 through 270.8b-31.
17 CFR 270.8b-2 · b-2 Definitions.
17 CFR 270.8b-3 · b-3 Title of securities.
17 CFR 270.8b-4 · b-4 Interpretation of requirements.
17 CFR 270.8b-5 · b-5 Time of filing original registration statement.
17 CFR 270.8b-6 · b-6 [Reserved]
17 CFR 270.8b-10 · b-10 Requirements as to proper form.
17 CFR 270.8b-11 · b-11 Number of copies; signatures; binding.
17 CFR 270.8b-12 · b-12 Requirements as to paper, printing and language.
17 CFR 270.8b-13 · b-13 Preparation of registration statement or report.
17 CFR 270.8b-14 · b-14 Riders; inserts.
17 CFR 270.8b-15 · b-15 Amendments.
17 CFR 270.8b-16 · b-16 Amendments to registration statement.
17 CFR 270.8b-20 · b-20 Additional information.
17 CFR 270.8b-21 · b-21 Information unknown or not available.
17 CFR 270.8b-22 · b-22 Disclaimer of control.
17 CFR 270.8b-23 - 270.8b-24 · §§ 270.8b-23-270.8b-24 [Reserved]
17 CFR 270.8b-25 · b-25 Extension of time for furnishing information.
17 CFR 270.8b-30 · b-30 Additional exhibits.
17 CFR 270.8b-31 · b-31 Omission of substantially identical documents.
17 CFR 270.8b-32 · b-32 [Reserved]
17 CFR 270.8f-1 · f-1 Deregistration of certain registered investment companies.
17 CFR 270.10b-1 · b-1 Definition of regular broker or dealer.
17 CFR 270.10e-1 · e-1 Death, disqualification, or bona fide resignation of directors.
17 CFR 270.10f-1 · f-1 Conditional exemption of certain underwriting transactions.
17 CFR 270.10f-2 · f-2 Exercise of warrants or rights received on portfolio securities.
17 CFR 270.10f-3 · f-3 Exemption for the acquisition of securities during the existence of an underwriting or selling syndicate.
17 CFR 270.11a-1 · a-1 Definition of “exchange” for purposes of section 11 of the Act.
17 CFR 270.11a-2 · a-2 Offers of exchange by certain registered separate accounts or others the terms of which do not require prior Commission approval.
17 CFR 270.11a-3 · a-3 Offers of exchange by open-end investment companies other than separate accounts.
17 CFR 270.12b-1 · b-1 Distribution of shares by registered open-end management investment company.
17 CFR 270.12d1-1 · d1-1 Exemptions for investments in money market funds.
17 CFR 270.12d1-2 · d1-2 [Reserved]
17 CFR 270.12d1-3 · d1-3 Exemptions for investment companies relying on section 12(d)(1)(F) of the Act.
17 CFR 270.12d1-4 · d1-4 Exemptions for investments in certain investment companies.
17 CFR 270.12d2-1 · d2-1 Definition of insurance company for purposes of sections 12(d)(2) and 12(g) of the Act.
17 CFR 270.12d3-1 · d3-1 Exemption of acquisitions of securities issued by persons engaged in securities related businesses.
17 CFR 270.13a-1 · a-1 Exemption for change of status by temporarily diversified company.
17 CFR 270.14a-1 · a-1 Use of notification pursuant to regulation E under the Securities Act of 1933.
17 CFR 270.14a-2 · a-2 Exemption from section 14(a) of the Act for certain registered separate accounts and their principal underwriters.
17 CFR 270.14a-3 · a-3 Exemption from section 14(a) of the Act for certain registered unit investment trusts and their principal underwriters.
17 CFR 270.15a-1 · a-1 Exemption from stockholders' approval of certain small investment advisory contracts.
17 CFR 270.15a-2 · a-2 Annual continuance of contracts.
17 CFR 270.15a-3 · a-3 Exemption for initial period of investment adviser of certain registered separate accounts from requirement of security holder approval of investment advisory contract.
17 CFR 270.15a-4 · a-4 Temporary exemption for certain investment advisers.
17 CFR 270.16a-1 · a-1 Exemption for initial period of directors of certain registered accounts from requirements of election by security holders.
17 CFR 270.17a-1 · a-1 Exemption of certain underwriting transactions exempted by § 270.10f-1.
17 CFR 270.17a-2 · a-2 Exemption of certain purchase, sale, or borrowing transactions.
17 CFR 270.17a-3 · a-3 Exemption of transactions with fully owned subsidiaries.
17 CFR 270.17a-4 · a-4 Exemption of transactions pursuant to certain contracts.
17 CFR 270.17a-5 · a-5 Pro rata distribution neither “sale” nor “purchase.”
17 CFR 270.17a-6 · a-6 Exemption for transactions with portfolio affiliates.
17 CFR 270.17a-7 · a-7 Exemption of certain purchase or sale transactions between an investment company and certain affiliated persons thereof.
17 CFR 270.17a-8 · a-8 Mergers of affiliated companies.
17 CFR 270.17a-9 · a-9 Purchase of certain securities from a money market fund by an affiliate, or an affiliate of an affiliate.
17 CFR 270.17a-10 · a-10 Exemption for transactions with certain subadvisory affiliates.
17 CFR 270.17d-1 · d-1 Applications regarding joint enterprises or arrangements and certain profit-sharing plans.