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- 17 CFR 270.17d-2 · d-2 Form for report by small business investment company and affiliated bank.
- 17 CFR 270.17d-3 · d-3 Exemption relating to certain joint enterprises or arrangements concerning payment for distribution of shares of a registered open-end management investment company.
- 17 CFR 270.17e-1 · e-1 Brokerage transactions on a securities exchange.
- 17 CFR 270.17f-1 · f-1 Custody of securities with members of national securities exchanges.
- 17 CFR 270.17f-2 · f-2 Custody of investments by registered management investment company.
- 17 CFR 270.17f-3 · f-3 Free cash accounts for investment companies with bank custodians.
- 17 CFR 270.17f-4 · f-4 Custody of investment company assets with a securities depository.
- 17 CFR 270.17f-5 · f-5 Custody of investment company assets outside the United States.
- 17 CFR 270.17f-6 · f-6 Custody of investment company assets with Futures Commission Merchants and Commodity Clearing Organizations.
- 17 CFR 270.17f-7 · f-7 Custody of investment company assets with a foreign securities depository.
- 17 CFR 270.17g-1 · g-1 Bonding of officers and employees of registered management investment companies.
- 17 CFR 270.17j-1 · j-1 Personal investment activities of investment company personnel.
- 17 CFR 270.18c-1 · c-1 Exemption of privately held indebtedness.
- 17 CFR 270.18c-2 · c-2 Exemptions of certain debentures issued by small business investment companies.
- 17 CFR 270.18f-1 · f-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.
- 17 CFR 270.18f-2 · f-2 Fair and equitable treatment for holders of each class or series of stock of series investment companies.
- 17 CFR 270.18f-3 · f-3 Multiple class companies.
- 17 CFR 270.18f-4 · f-4 Exemption from the requirements of section 18 and section 61 for certain senior securities transactions.
- 17 CFR 270.19a-1 · a-1 Written statement to accompany dividend payments by management companies.
- 17 CFR 270.19b-1 · b-1 Frequency of distribution of capital gains.
- 17 CFR 270.20a-1 · a-1 Solicitation of proxies, consents and authorizations.
- 17 CFR 270.20a-2 - 270.20a-4 · §§ 270.20a-2-270.20a-4 [Reserved]
- 17 CFR 270.22c-1 · c-1 Pricing of redeemable securities for distribution, redemption and repurchase.
- 17 CFR 270.22c-2 · c-2 Redemption fees for redeemable securities.
- 17 CFR 270.22d-1 · d-1 Exemption from section 22(d) to permit sales of redeemable securities at prices which reflect sales loads set pursuant to a schedule.
- 17 CFR 270.22d-2 · d-2 Exemption from section 22(d) for certain registered separate accounts.
- 17 CFR 270.22e-1 · e-1 Exemption from section 22(e) of the Act during annuity payment period of variable annuity contracts participating in certain registered separate accounts.
- 17 CFR 270.22e-2 · e-2 Pricing of redemption requests in accordance with Rule 22c-1.
- 17 CFR 270.22e-3 · e-3 Exemption for liquidation of money market funds.
- 17 CFR 270.22e-4 · e-4 Liquidity risk management programs.
- 17 CFR 270.23c-1 · c-1 Repurchase of securities by closed-end companies.
- 17 CFR 270.23c-2 · c-2 Call and redemption of securities issued by registered closed-end companies.
- 17 CFR 270.23c-3 · c-3 Repurchase offers by closed-end companies.
- 17 CFR 270.24b-1 · b-1 Definitions.
- 17 CFR 270.24b-2 · b-2 Filing copies of sales literature.
- 17 CFR 270.24b-3 · b-3 Sales literature deemed filed.
- 17 CFR 270.24b-4 · b-4 Filing copies of covered investment fund research reports.
- 17 CFR 270.24e-1 · e-1 Filing of certain prospectuses as post-effective amendments to registration statements under the Securities Act of 1933.
- 17 CFR 270.24f-2 · f-2 Registration under the Securities Act of 1933 of certain investment company securities.
- 17 CFR 270.26a-1 · a-1 Payment of administrative fees to the depositor or principal underwriter of a unit investment trust; exemptive relief for separate accounts.
- 17 CFR 270.27c-1 · c-1 [Reserved]
- 17 CFR 270.27d-1 · d-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.
- 17 CFR 270.27d-2 · d-2 [Reserved]
- 17 CFR 270.27e-1 · e-1 [Reserved]
- 17 CFR 270.27f-1 · f-1 [Reserved]
- 17 CFR 270.27g-1 · g-1 [Reserved]
- 17 CFR 270.27h-1 · h-1 [Reserved]
- 17 CFR 270.27i-1 · i-1 Exemption from Section 27(i)(2)(A) of the Act during annuity payment period of variable annuity contracts participating in certain registered separate accounts.
- 17 CFR 270.28b-1 · b-1 Investment in loans partially or wholly guaranteed under the Servicemen's Readjustment Act of 1944, as amended.
- 17 CFR 270.30a-1 · a-1 Annual report for registered investment companies.
- 17 CFR 270.30a-2 · a-2 Certification of Form N-CSR.
- 17 CFR 270.30a-3 · a-3 Controls and procedures.
- 17 CFR 270.30a-4 · a-4 Annual report for wholly-owned registered management investment company subsidiary of registered management investment company.
- 17 CFR 270.30b1-1 - 270.b1-3 · §§ 270.30b1-1-270.b1-3 [Reserved]
- 17 CFR 270.30b1-4 · b1-4 Report of proxy voting record.
- 17 CFR 270.30b1-5 · b1-5 [Reserved]
- 17 CFR 270.30b1-7 · b1-7 Monthly report for money market funds.
- 17 CFR 270.30b1-8 · b1-8 Current report for money market funds.
- 17 CFR 270.30b1-9 · b1-9 Monthly report.
- 17 CFR 270.30b1-10 · b1-10 Current report for open-end and closed-end management investment companies.
- 17 CFR 270.30b2-1 · b2-1 Filing of reports to stockholders.
- 17 CFR 270.30d-1 · d-1 Filing of copies of reports to shareholders.
- 17 CFR 270.30e-1 · e-1 Reports to stockholders of management companies.
- 17 CFR 270.30e-2 · e-2 Reports to shareholders of unit investment trusts.
- 17 CFR 270.30e-3 · e-3 Internet availability of reports to shareholders.
- 17 CFR 270.30h-1 · h-1 Applicability of section 16 of the Exchange Act to section 30(h).
- 17 CFR 270.31a-1 · a-1 Records to be maintained by registered investment companies, certain majority-owned subsidiaries thereof, and other persons having transactions with registered investment companies.
- 17 CFR 270.31a-2 · a-2 Records to be preserved by registered investment companies, certain majority-owned subsidiaries thereof, and other persons having transactions with registered investment companies.
- 17 CFR 270.31a-3 · a-3 Records prepared or maintained by other than person required to maintain and preserve them.
- 17 CFR 270.31a-4 · a-4 Records to be maintained and preserved by registered investment companies relating to fair value determinations.
- 17 CFR 270.32a-1 · a-1 Exemption of certain companies from affiliation provisions of section 32(a).
- 17 CFR 270.32a-2 · a-2 Exemption for initial period from vote of security holders on independent public accountant for certain registered separate accounts.
- 17 CFR 270.32a-3 · a-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.
- 17 CFR 270.32a-4 · a-4 Independent audit committees.
- 17 CFR 270.34b-1 · b-1 Sales literature deemed to be misleading.
- 17 CFR 270.35d-1 · d-1 Investment company names.
- 17 CFR 270.38a-1 · a-1 Compliance procedures and practices of certain investment companies.
- 17 CFR 270.45a-1 · a-1 Confidential treatment of names and addresses of dealers of registered investment company securities.
- 17 CFR 270.55a-1 · a-1 Investment activities of business development companies.
- 17 CFR 270.57b-1 · b-1 Exemption for downstream affiliates of business development companies.
- 17 CFR 270.60a-1 · a-1 Exemption for certain business development companies.
- 17 CFR 274.0-1 · -1 Availability of forms.
- 17 CFR 274.5 · Form N-5, for registration statement of small business investment company under the Securities Act of 1933 and the Investment Company Act of 1940.
- 17 CFR 274.10 · Form N-8A, for notification of registration.
- 17 CFR 274.11 · [Reserved]
- 17 CFR 274.11A · A Form N-1A, registration statement of open-end management investment companies.
- 17 CFR 274.11a-1 · a-1 Form N-2, registration statement of closed end management investment companies.
- 17 CFR 274.11b · b Form N-3, registration statement of separate accounts organized as management investment companies.
- 17 CFR 274.11c · c Form N-4, registration statement of separate accounts organized as unit investment trusts.
- 17 CFR 274.11d · d Form N-6, registration statement of separate accounts organized as unit investment trusts that offer variable life insurance policies.
- 17 CFR 274.12 · Form N-8B-2, registration statement of unit investment trusts that are currently issuing securities.
- 17 CFR 274.13 · Form N-8B-3, registration statement of unincorporated management investment companies currently issuing periodic payment plan certificates.
- 17 CFR 274.14 · Form N-8B-4, registration statements of face-amount certificate companies.
- 17 CFR 274.15 · Form N-6F, notice of intent to elect to be subject to sections 55 through 65 of the Investment Company Act of 1940.
- 17 CFR 274.24 · Form 24F-2, annual filing of securities sold pursuant to registration of certain investment company securities and registered non-variable annuities.
- 17 CFR 274.51 · Form N-18F-1, for notification of election pursuant to § 270.18f-1 of this chapter.
- 17 CFR 274.53 · Form N-54A, notification of election to be subject to sections 55 through 65 of the Investment Company Act of 1940 filed pursuant to section 54(a) of the Act.
- 17 CFR 274.54 · Form N-54C, notification of withdrawal of election to be subject to sections 55 through 65 of the Investment Company Act of 1940 filed pursuant to section 54(c) of the Investment Company Act of 1940.
- 17 CFR 274.101 · Form N-CEN, annual report of registered investment companies.
- 17 CFR 274.102-274.126 · §§ 274.102-274.126 [Reserved]