Rules and regulations promulgated under the Investment Company Act of 1940 (17 CFR Part 270)

Rule 0-1 — Definition of terms used in this part.

Rule 0-2 — General requirements of papers and applications.

Rule 0-3 — Amendments to registration statements and reports.

Rule 0-4 — Incorporation by reference.

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

Rule 0-8 — Payment of fees.

Rule 0-9 — [Reserved]

Rule 0-10 — Small entities for purposes of the Regulatory Flexibility Act.

Rule 0-11 — Customer identification programs.

Rule 2a-1 — Valuation of portfolio securities in special cases.

Rule 2a-2 — Effect of eliminations upon valuation of portfolio securities.

Rule 2a3-1 — Investment company limited partners not deemed affiliated persons.

Rule 2a-4 — Definition of “current net asset value” for use in computing periodically the current price of redeemable security.

Rule 2a-6 — Certain transactions not deemed assignments.

Rule 2a-7 — Money market funds.

Rule 2a-46 — Certain issuers as eligible portfolio companies.

Rule 2a19-1 — [Reserved]

Rule 2a19-2 — Investment company general partners not deemed interested persons.

Rule 2a19-3 — Certain investment company directors not considered interested persons because of ownership of index fund securities.

Rule 2a41-1 — Valuation of standby commitments by registered investment companies.

Rule 2a51-1 — Definition of investments for purposes of section 2(a)(51) (definition of “qualified purchaser”); certain calculations.

Rule 2a51-2 — Definitions of beneficial owner for certain purposes under sections 2(a)(51) and 3(c)(7) and determining indirect ownership interests.

Rule 2a51-3 — Certain companies as qualified purchasers.

Rule 3a-1 — Certain prima facie investment companies.

Rule 3a-2 — Transient investment companies.

Rule 3a-3 — Certain investment companies owned by companies which are not investment companies.

Rule 3a-4 — Status of investment advisory programs.

Rule 3a-5 — Exemption for subsidiaries organized to finance the operations of domestic or foreign companies.

Rule 3a-6 — Foreign banks and foreign insurance companies.

Rule 3a-7 — Issuers of asset-backed securities.

Rule 3a-8 — Certain research and development companies.

Rule 3c-1 — Definition of beneficial ownership for certain section 3(c)(1) funds.

Rule 3c-2 — Definition of beneficial ownership in small business investment companies.

Rule 3c-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.

Rule 3c-4 — Definition of “common trust fund” as used in section 3(c)(3) of the Act.

Rule 3c-5 — Beneficial ownership by knowledgeable employees and certain other persons.

Rule 3c-6 — Certain transfers of interests in section 3(c)(1) and section 3(c)(7) funds.

Rule 5b-1 — Definition of “total assets”.

Rule 5b-2 — Exclusion of certain guarantees as securities of the guarantor.

Rule 5b-3 — Acquisition of repurchase agreement or refunded security treated as acquisition of underlying securities.

Rule 6b-1 — Exemption of employees’ securities company pending determination of application.

Rule 6c-3 — Exemptions for certain registered variable life insurance separate accounts.

Rule 6c-6 — Exemption for certain registered separate accounts and other persons.

Rule 6c-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.

Rule 6c-8 — Exemptions for registered separate accounts to impose a deferred sales load and to deduct certain administrative charges.

Rule 6c-10 — Exemption for certain open-end management investment companies to impose deferred sales loads.

Rule 6d-1 — Exemption for certain closed-end investment companies.

Rule 6e-2 — Exemptions for certain variable life insurance separate accounts.

Rule 6e-3(T) — Temporary exemptions for flexible premium variable life insurance separate accounts.

Rule 7d-1 — Specification of conditions and arrangements for Canadian management investment companies requesting order permitting registration.

Rule 7d-2 — Definition of “public offering” as used in section 7(d) of the Act with respect to certain Canadian tax-deferred retirement savings accounts.

Rule 8b-1 — Scope of Rule 8b-1 to Rule 8b-32.

Rule 8b-2 — Definitions.

Rule 8b-3 — Title of securities.

Rule 8b-4 — Interpretation of requirements.

Rule 8b-5 — Time of filing original registration statement.

Rule 8b-6 — [Reserved]

Rule 8b-10 — Requirements as to proper form.

Rule 8b-11 — Number of copies; signatures; binding.

Rule 8b-12 — Requirements as to paper, printing and language.

Rule 8b-13 — Preparation of registration statement or report.

Rule 8b-14 — Riders; inserts.

Rule 8b-15 — Amendments.

Rule 8b-16 — Amendments to registration statement.

Rule 8b-20 — Additional information.

Rule 8b-21 — Information unknown or not available.

Rule 8b-22 — Disclaimer of control.

Rule 8b-23 — Incorporation by reference.

Rule 8b-24 — Summaries or outlines of documents.

Rule 8b-25 — Extension of time for furnishing information.

Rule 8b-30 — Additional exhibits.

Rule 8b-31 — Omission of substantially identical documents.

Rule 8b-32 — Incorporation of exhibits by reference.

Rule 8b-33 — XBRL-Related Documents.

Rule 8f-1 — Deregistration of certain registered investment companies.

Rule 10b-1 — Definition of regular broker or dealer.

Rule 10e-1 — Death, disqualification, or bona fide resignation of directors.

Rule 10f-1 — Conditional exemption of certain underwriting transactions.

Rule 10f-2 — Exercise of warrants or rights received on portfolio securities.

Rule 10f-3 — Exemption for the acquisition of securities during the existence of an underwriting or selling syndicate.

Rule 11a-1 — Definition of “exchange” for purposes of section 11 of the Act.

Rule 11a-2 — Offers of exchange by certain registered separate accounts or others the terms of which do not require prior Commission approval.

Rule 11a-3 — Offers of exchange by open-end investment companies other than separate accounts.

Rule 12b-1 — Distribution of shares by registered open-end management investment company.

Rule 12d1-1 — Exemptions for investments in money market funds.

Rule 12d1-2 — Exemptions for investment companies relying on section 12(d)(1)(G) of the Act.

Rule 12d1-3 — Exemptions for investment companies relying on section 12(d)(1)(F) of the Act.

Rule 12d2-1 — Definition of insurance company for purposes of sections 12(d)(2) and 12(g) of the Act.

Rule 12d3-1 — Exemption of acquisitions of securities issued by persons engaged in securities related businesses.

Rule 13a-1 — Exemption for change of status by temporarily diversified company.

Rule 14a-1 — Use of notification pursuant to regulation E Under the Securities Act of 1933.

Rule 14a-2 — Exemption from section 14(a) of the Act for certain registered separate accounts and their principal underwriters.

Rule 14a-3 — Exemption from section 14(a) of the Act for certain registered unit investment trusts and their principal underwriters.

Rule 15a-1 — Exemption from stockholders’ approval of certain small Investment advisory contracts.

Rule 15a-2 — Annual continuance of contracts.

Rule 15a-3 — Exemption for initial period of investment adviser of certain registered separate accounts from requirement of security holder approval of investment advisory contract.

Rule 15a-4 — Temporary exemption for certain investment advisers.

Rule 16a-1 — Exemption for initial period of directors of certain registered accounts from requirements of election by security holders.

Rule 17a-1 — Exemption of certain underwriting transactions exempted by Rule 10f-1.

Rule 17a-2 — Exemption of certain purchase, sale, or borrowing transactions.

Rule 17a-3 — Exemption of transactions with fully owned subsidiaries.

Rule 17a-4 — Exemption of transactions pursuant to certain contracts.

Rule 17a-5 — Pro rata distribution neither “sale” nor “purchase.”

Rule 17a-6 — Exemption for transactions with portfolio affiliates.

Rule 17a-7 — Exemption of certain purchase or sale transactions between an investment company and certain affiliated persons thereof.

Rule 17a-8 — Mergers of affiliated companies.

Rule 17a-9 — Purchase of certain securities from a money market fund by an affiliate, or an affiliate of an affiliate.

Rule 17a-10 — Exemption for transactions with certain subadvisory affiliates.

Rule 17d-1 — Applications regarding joint enterprises or arrangements and certain profit-sharing plans.

Rule 17d-2 — Form for report by small business investment company and affiliated bank.

Rule 17d-3 — Exemption relating to certain joint enterprises or arrangements concerning payment for distribution of shares of a registered open-end management investment company.

Rule 17e-1 — Brokerage transactions on a securities exchange.

Rule 17f-1 — Custody of securities with members of national securities exchanges.

Rule 17f-2 — Custody of investments by registered management investment company.

Rule 17f-3 — Free cash accounts for investment companies with bank custodians.

Rule 17f-4 — Custody of investment company assets with a securities depository.

Rule 17f-5 — Custody of investment company assets outside the United States.

Rule 17f-6 — Custody of investment company assets with Futures Commission Merchants and Commodity Clearing Organizations.

Rule 17f-7 — Custody of investment company assets with a foreign securities depository.

Rule 17g-1 — Bonding of officers and employees of registered management investment companies.

Rule 17j-1 — Personal investment activities of investment company personnel.

Rule 18c-1 — Exemption of privately held indebtedness.

Rule 18c-2 — Exemptions of certain debentures issued by small business investment companies.

Rule 18f-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.

Rule 18f-2 — Fair and equitable treatment for holders of each class or series of stock of series investment companies.

Rule 18f-3 — Multiple class companies.

Rule 19a-1 — Written statement to accompany dividend payments by management companies.

Rule 19b-1 — Frequency of distribution of capital gains.

Rule 20a-1 — Solicitation of proxies, consents and authorizations.

Rule 20a-2 — Through Rule 20a-4 [Reserved]

Rule 22c-1 — Pricing of redeemable securities for distribution, redemption and repurchase.

Rule 22c-2 –Redemption fees for redeemable securities.

Rule 22d-1 — Exemption from section 22(d) to permit sales of redeemable securities at prices which reflect sales loads set pursuant to a schedule.

Rule 22d-2 — Exemption from section 22(d) for certain registered separate accounts.

Rule 22e-1 — Exemption from section 22(e) of the Act during annuity payment period of variable annuity contracts participating in certain registered separate accounts.

Rule 22e-2 — Pricing of redemption requests in accordance with Rule 22c-1.

Rule 22e-3 — Exemptions for liquidation of money market funds.

Rule 23c-1 — Repurchase of securities by closed-end companies.

Rule 23c-2 — Call and redemption of securities issued by registered closed-end companies.

Rule 23c-3 — Repurchase offers by closed-end companies.

Rule 24b-1 — Definitions.

Rule 24b-2 — Filing copies of sales literature.

Rule 24b-3 — Sales literature deemed filed.

Rule 24e-1 — Filing of certain prospectuses as post-effective amendments to registration statements under the Securities Act of 1933.

Rule 24f-2 — Registration under the Securities Act of 1933 of certain investment company securities.

Rule 26a-1 — Payment of administrative fees to the depositor or principal underwriter of a unit investment trust; exemptive relief for separate accounts.

Rule 26a-2 — Exemptions from certain provisions of sections 26 and 27 for registered separate accounts and others regarding custodianship of and deduction of certain fees and charges from the assets of such accounts.

Rule 27a-1 — Conditions for compliance with and exemptions from certain provisions of section 27(a)(1) and section 27(h)(1) of the Act for certain registered separate accounts.

Rule 27a-2 — Exemption from section 27(a)(3) and section 27(h)(3) of the Act for certain registered separate accounts.

Rule 27a-3 — Exemption from section 27(a)(4) and section 27(h)(5) of the Act for certain registered separate accounts.

Rule 27c-1 — Exemption from section 27(c)(1) and section 27(d) of the Act during annuity payment period of variable annuity contracts participating in certain registered separate accounts.

Rule 27d-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.

Rule 27d-2 — Insurance company undertaking in lieu of segregated trust account.

Rule 27e-1 — Requirements for notice to be mailed to certain purchasers of periodic payment plan certificates sold subject to section 27(d) of the Act.

Rule 27f-1 — Notice of right of withdrawal required to be mailed to periodic payment plan certificate holders and exemption from section 27(f) for certain periodic payment plan certificates.

Rule 27g-1 — Election to be governed by section 27(h).

Rule 27h-1 — Exemptions from section 27(h)(4) for certain payments.

Rule 28b-1 — Investment in loans partially or wholly guaranteed under the Servicemen’s Readjustment Act of 1944, as amended.

Rule 30a-1 — Annual reports for unit investment trusts.

Rule 30a-2 — Certification of Form N-CSR and Form N-Q.

Rule 30a-3 — Controls and Procedures.

Rule 30b1-1 — Semi-annual report for registered management investment companies.

Rule 30b1-2 — Semi-annual report for totally-owned registered management investment company subsidiary of registered management investment company.

Rule 30b1-3 — Transition reports.

Rule 30b1-4 — Report of proxy voting record.

Rule 30b1-5 — Quarterly report.

Rule 30b1-7 — Monthly report for money market funds.

Rule 30b2-1 — Filing of reports to stockholders.

Rule 30d-1 — Filing of copies of reports to shareholders.

Rule 30e-1 — Reports to stockholders of management companies.

Rule 30e-2 — Reports to shareholders of unit investment trusts.

Rule 30h-1 — Applicability of section 16 of the Exchange Act to section 30(h).

Rule 31a-1 — Records to be maintained by registered investment companies, certain majority-owned subsidiaries thereof, and other persons having transactions with registered investment companies.

Rule 31a-2 — Records to be preserved by registered investment companies, certain majority-owned subsidiaries thereof, and other persons having transactions with registered investment companies.

Rule 31a-3 — Records prepared or maintained by other than person required to maintain and preserve them.

Rule 32a-1 — Exemption of certain companies from affiliation provisions of section 32(a).

Rule 32a-2 — Exemption for initial period from vote of security holders on independent public accountant for certain registered separate accounts.

Rule 32a-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.

Rule 32a-4 — Independent audit committees.

Rule 34b-1 — Sales literature deemed to be misleading.

Rule 35d-1 — Investment company names.

Rule 38a-1 — Compliance procedures and practices of certain investment companies.

Rule 45a-1 — Confidential treatment of names and addresses of dealers of registered investment company securities.

Rule 55a-1 — Investment activities of business development companies.

Rule 57b-1 — Exemption for downstream affiliates of business development companies.

Rule 60a-1 — Exemption for certain business development companies.