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-5 — Fair value determination and readily available market quotations.

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

Rule 2a-7 — Money market funds.

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 2a-46 — Certain issuers as eligible portfolio 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 3a-9 — Crowdfunding vehicle.

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 6a-5 Purchase of certain debt securities by companies relying on section 6(a)(5) of the Act.

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 6c-11 — Exchange-traded funds.

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

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

Rule 6e-3 — Exemptions for flexible premium variable life insurance separate accounts. [Redesignated as 17 CFR § 270.6e-3]

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 — [Reserved]

Rule 8b-24 — [Reserved]

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 — [Reserved]

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 [Reserved]

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

Rule 12d1-4 — Exemptions for investments in certain investment companies.

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 18f-4 — Exemption from the requirements of section 18 and section 61 for certain senior securities transactions.

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 to 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 22e-4 — Liquidity risk management programs.

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 24b-4 — Filing copies of covered investment fund research reports.

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 27c-1 — [Reserved]

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 — [Reserved]

Rule 27e-1 — [Reserved]

Rule 27f-1 — [Reserved]

Rule 27g-1 — [Reserved]

Rule 27h-1 — [Reserved]

Rule 27i-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.

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 30a-4 — Annual report for wholly-owned registered management investment company subsidiary of registered management investment company.

Rule 30b1-1 — [Reserved]

Rule 30b1-2 — [Reserved]

Rule 30b1-3 — [Reserved]

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

Rule 30b1-5 — [Reserved]

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

Rule 30b1-8 — Current report for money market funds.

30b1-9 — Monthly report.

30b1-9(T) — Temporary rule regarding monthly report.

30b1-10 — Current report for open-end and closed-end management investment companies.

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 30e-3 — Internet availability of reports to shareholders.

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 31a-4 — Records to be maintained and preserved by registered investment companies relating to fair value determinations.

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.