Rules and regulations promulgated under the Investment Advisers Act of 1940 (17 CFR Part 275)

Rule 0-2 — General procedures for serving non-residents.

Rule 0-3 — References to rules and regulations.

Rule 0-4 — General requirements of papers and applications.

Rule 0-5 — Procedure with respect to applications and other matters.

Rule 0-6 — Incorporation by reference in applications.

Rule 0-7 — Small entities under the Investment Advisers Act for purposes of the Regulatory Flexibility Act.

Rule 202(a)(1)-1 — Certain transactions not deemed assignments.

202(a)(11)(G)-1 — Family offices.

202(a)(30)-1 — Foreign private advisers.

203(l)-1 — Venture capital fund defined.

203(m)-1 — Private fund adviser exemption.

Rule 203-1 — Application for investment adviser registration.

Rule 203-2 — Withdrawal from investment adviser registration.

Rule 203-3 — Hardship exemptions.

Rule 203A-1 — Eligibility for SEC registration; Switching to or from SEC registration.

Rule 203A-2 — Exemptions from prohibition on Commission registration.

Rule 203A-3 — Definitions

Rule 203A-4 — [Reserved]

Rule 203A-5 — [Reserved]

Rule 203A-6 — [Reserved]

Rule 204-1 — Amendments to Form ADV.

Rule 204-2 — Books and records to be maintained by investment advisers.

Rule 204-3 — Delivery of brochures and brochure supplements.

Rule 204-4 — Reporting by exempt reporting advisers.  

Rule 204-5 — [Reserved]

Rule 204A-1 — Investment adviser codes of ethics.

Rule 205-1 — Definition of “investment performance” of an investment company and “investment record” of an appropriate index of securities prices.

Rule 205-2 — Definition of “specified period” over which the asset value of the company or fund under management is averaged.

Rule 205-3 — Exemption from the compensation prohibition of section 205(a)(1) for investment advisers.

Rule 206(3)-1 — Exemption of investment advisers registered as broker-dealers in connection with the provision of certain investment advisory services.

Rule 206(3)-2 — Agency cross transactions for advisory clients.

Rule 206(4)-1 — Advertisements by investment advisers.

Rule 206(4)-2 — Custody or possession of funds or securities of clients.

Rule 206(4)-3 — Cash payments for client solicitations.

Rule 206(4)-4 — [Reserved]

Rule 206(4)-5 — Political contributions by certain investment advisers.

Rule 206(4)-6 — Proxy voting.

Rule 206(4)-7 — Compliance procedures and practices.

Rule 206(4)-8 — Pooled investment vehicles.

Rule 222-1 — Definitions.

Rule 222-2 — Definition of “client” for purposes of the national de minimis standard.