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17 CFR 274.127d-1 · d-1 Form N-27D-1 accounting of segregated trust account.
17 CFR 274.128 · Form N-CSR, certified shareholder report.
17 CFR 274.129 · Form N-PX, annual report of proxy voting record.
17 CFR 274.130 · [Reserved]
17 CFR 274.150 · Form N-PORT, Monthly portfolio holdings report.
17 CFR 274.200 · Form N-17D-1, report filed by small business investment company (SBIC) registered under the Investment Company Act of 1940 and an affiliated bank, with respect to investments by the SBIC and the bank, submitted pursuant to paragraph (d)(3) of § 270.17d-1 of this chapter.
17 CFR 274.201 · Form N-MFP, portfolio holdings of money market funds.
17 CFR 274.202 · Form 3, initial statement of beneficial ownership of securities.
17 CFR 274.203 · Form 4, statement of changes in beneficial ownership of securities.
17 CFR 274.218 · Form N-8F, application for deregistration of certain registered investment companies.
17 CFR 274.219 · Form N-17f-1, cover page for each certificate of accounting of securities and similar investments of a management investment company in the custody of a member of a national securities exchange, filed pursuant to rule 17f-1.
17 CFR 274.220 · Form N-17f-2, cover page for each certificate of accounting of securities and similar investments in the custody of a registered management investment company, filed pursuant to rule 17f-2.
17 CFR 274.221 · Form N-23c-3, Notification of repurchase offer.
17 CFR 274.222 · Form N-CR, Current report of money market fund material events.
17 CFR 274.223 · Form N-RN, Current report, open- and closed-end investment company reporting.
17 CFR 274.301 · Notification of claim of exemption pursuant to Rule 6e-2 or Rule 6e-3(T) under the Investment Company Act.
17 CFR 274.401 · [Reserved]
17 CFR 274.402 · Form ID, uniform application for access codes to file on EDGAR.
17 CFR 274.403 · Form SE, form for submission of paper format exhibits by electronic filers.
17 CFR 274.404 · Form TH—Notification of reliance on temporary hardship exemption.
17 CFR 275.0-2 · -2 General procedures for serving non-residents.
17 CFR 275.0-3 · -3 References to rules and regulations.
17 CFR 275.0-4 · -4 General requirements of papers and applications.
17 CFR 275.0-5 · -5 Procedure with respect to applications and other matters.
17 CFR 275.0-6 · -6 Incorporation by reference in applications.
17 CFR 275.0-7 · -7 Small entities under the Investment Advisers Act for purposes of the Regulatory Flexibility Act.
17 CFR 275.202(a)(1)-1 · (a)(1)-1 Certain transactions not deemed assignments.
17 CFR 275.202(a)(11)(G)-1 · (a)(11)(G)-1 Family offices.
17 CFR 275.202(a)(30)-1 · (a)(30)-1 Foreign private advisers.
17 CFR 275.203-1 · -1 Application for investment adviser registration.
17 CFR 275.203-2 · -2 Withdrawal from investment adviser registration.
17 CFR 275.203-3 · -3 Hardship exemptions.
17 CFR 275.203(l)-1 · (l)-1 Venture capital fund defined.
17 CFR 275.203(m)-1 · (m)-1 Private fund adviser exemption.
17 CFR 275.203A-1 · A-1 Eligibility for SEC registration; Switching to or from SEC registration.
17 CFR 275.203A-2 · A-2 Exemptions from prohibition on Commission registration.
17 CFR 275.203A-3 · A-3 Definitions.
17 CFR 275.203A-4 - 275.203A-6 · §§ 275.203A-4-275.203A-6 [Reserved]
17 CFR 275.204-1 · -1 Amendments to Form ADV.
17 CFR 275.204-2 · -2 Books and records to be maintained by investment advisers.
17 CFR 275.204-3 · -3 Delivery of brochures and brochure supplements.
17 CFR 275.204-4 · -4 Reporting by exempt reporting advisers.
17 CFR 275.204-5 · -5 Delivery of Form CRS.
17 CFR 275.204(b)-1 · (b)-1 Reporting by investment advisers to private funds.
17 CFR 275.204A-1 · A-1 Investment adviser codes of ethics.
17 CFR 275.205-1 · -1 Definition of “investment performance” of an investment company and “investment record” of an appropriate index of securities prices.
17 CFR 275.205-2 · -2 Definition of “specified period” over which the asset value of the company or fund under management is averaged.
17 CFR 275.205-3 · -3 Exemption from the compensation prohibition of section 205(a)(1) for investment advisers.
17 CFR 275.206(3)-1 · (3)-1 Exemption of investment advisers registered as broker-dealers in connection with the provision of certain investment advisory services.
17 CFR 275.206(3)-2 · (3)-2 Agency cross transactions for advisory clients.
17 CFR 275.206(4)-1 · (4)-1 Investment adviser marketing.
17 CFR 275.206(4)-2 · (4)-2 Custody of funds or securities of clients by investment advisers.
17 CFR 275.206(4)-(3) - 275.206(4)-4 · §§ 275.206(4)-(3)-275.206(4)-4 [Reserved]
17 CFR 275.206(4)-5 · (4)-5 Political contributions by certain investment advisers.
17 CFR 275.206(4)-6 · (4)-6 Proxy voting.
17 CFR 275.206(4)-7 · (4)-7 Compliance procedures and practices.
17 CFR 275.206(4)-8 · (4)-8 Pooled investment vehicles.
17 CFR 275.222-1 · -1 Definitions.
17 CFR 275.222-2 · -2 Definition of “client” for purposes of the national de minimis standard.
17 CFR 279.0-1 · -1 Availability of forms.
17 CFR 279.1 · Form ADV, for application for registration of investment adviser and for amendments to such registration statement.
17 CFR 279.2 · Form ADV-W, notice of withdrawal from registration as investment adviser.
17 CFR 279.3 · Form ADV-H, application for a temporary or continuing hardship exemption.
17 CFR 279.4 · Form ADV-NR, appointment of agent for service of process by non-resident general partner and non-resident managing agent of an investment adviser.
17 CFR 279.5-279.7 · §§ 279.5-279.7 [Reserved]
17 CFR 279.8 · Form ADV-E, cover page for certificate of accounting of securities and funds in possession or custody of an investment adviser.
17 CFR 279.9 · Form PF, reporting by investment advisers to private funds.
17 CFR 285.1 · Applicability of part.
17 CFR 285.2 · Periodic reports.
17 CFR 285.3 · Reports with respect to proposed distribution of primary obligations.
17 CFR 285.4 · Preparation and filing of reports.
17 CFR 286.1 · Applicability of this part.
17 CFR 286.2 · Periodic reports.
17 CFR 286.3 · Reports with respect to proposed distribution of primary obligations.
17 CFR 286.4 · Preparation and filing of reports.
17 CFR Schedule A to Part 286 · Schedule A to Part 286
17 CFR 287.1 · Applicability of this part.
17 CFR 287.2 · Periodic reports.
17 CFR 287.3 · Reports with respect to proposed distribution of primary obligations.
17 CFR 287.4 · Preparation and filing of reports.
17 CFR 287.101 · Schedule A—Information required in reports pursuant to § 287.3.
17 CFR 288.1 · Applicability of this part.
17 CFR 288.2 · Periodic reports.
17 CFR 288.3 · Reports with respect to proposed distribution of primary obligations.
17 CFR 288.4 · Preparation and filing of reports.
17 CFR 288.101 · Schedule A. Information required in reports pursuant to § 288.3.
17 CFR 289.1 · Applicability of this part.
17 CFR 289.2 · Periodic reports.
17 CFR 289.3 · Reports with respect to proposed distribution of primary obligations.
17 CFR 289.4 · Preparation and filing of reports.
17 CFR 289.101 · Schedule A. Information required in reports pursuant to § 289.3.
17 CFR 290.1 · Applicability of this part.
17 CFR 290.2 · Periodic reports.
17 CFR 290.3 · Reports with respect to proposed distribution of obligations.
17 CFR 290.4 · Preparation and filing of reports.
17 CFR 290.101 · Schedule A. Information required in reports pursuant to § 290.3.
17 CFR 300.100 · General.
17 CFR 300.101 · Individual accounts.
17 CFR 300.102 · Accounts held by executors, administrators, guardians, etc.
17 CFR 300.103 · Accounts held by a corporation, partnership or unincorporated association.