Investment Advisers Act

If you are an investment adviser registered or required to be registered under section 203 of the Act (15 U.S.C. 80b-3), it is a fraudulent, ...

(a) For purposes of this rule: (1) Fulcrum fee shall mean the fee which is paid or earned when the investment company's performance is equivalent ...

(a) Investment performance of an investment company for any period shall mean the sum of: (1) The change in its net asset value per share ...

(a) Prohibition. It shall constitute a fraudulent, deceptive, or manipulative act, practice, or course of business within the meaning of section 206(4) of the Act ...

(a) Adoption of code of ethics. If you are an investment adviser registered or required to be registered under section 203 of the Act, you ...

(a) Prohibitions. As a means reasonably designed to prevent fraudulent, deceptive or manipulative acts, practices, or courses of business within the meaning of section 206(4) ...

(a) An investment adviser which is a broker or dealer registered pursuant to section 15 of the Securities Exchange Act of 1934 shall be exempt ...

Rules and Regulations promulgated under the Investment Advisers Act of 1940Rule 204-2 -- Books and Records to Be Maintained by Investment AdvisersEvery investment adviser registered ...

(a) Form ADV. To apply for registration with the Commission as an investment adviser, you must complete Form ADV by following the instructions in the ...

(a) General requirements. If you are registered under the Act as an investment adviser, you must deliver Form CRS, required by Part 3 of Form ...