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Investment Advisers Act

For purposes of section 222(d)(2) of the Act, an investment adviser may rely upon the definition of “client” provided by §275.202(a)(30)-1, without giving regard to ...
Provides for compensation to the investment adviser on the basis of a share of the capital gains
(a) Reporting by investment advisers to private funds on Form PF. If you are an investment adviser registered or required to be registered under section ...
For purposes of section 222 of the Act: (a) Place of business. “Place of business” of an investment adviser means: (1) An office at which ...
(a) General requirements. If you are registered under the Act as an investment adviser, you must deliver a brochure and one or more brochure supplements ...
(a) Exempt reporting advisers. If you are an investment adviser relying on the exemption from registering with the Commission under section 203(l) or (m) of ...
If you are an investment adviser registered or required to be registered under section 203 of the Investment Advisers Act of 1940, it shall be ...
(a) Form ADV-W. You must file Form ADV-W to withdraw from investment adviser registration with the Commission (or to withdraw a pending registration application). (b) ...
The prohibition of section 203A(a) of the Act (15 U.S.C. 80b-3a(a)) does not apply to: (a) Pension consultants. (1) An investment adviser that is a ...
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) Eligibility for SEC registration of mid-sized investment advisers. If you are an investment adviser described in section 203A(a)(2)(B) of the Act (15 U.S.C. 80b-3a(a)(2)(B)): ...
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