Rules & Regulations

Current report for open-end management investment companies

Each registered management investment company or exchange-traded fund organized as a unit investment trust, or series thereof, other than a registered open-end management investment company ...

(a) Until April 1, 2019, each registered management investment company subject to § 270.30b1–9 of this chapter must satisfy its reporting obligation under that section ...

(a) For the purposes only of Section 5 of the Act (15 U.S.C. 77e), the publication or distribution of quotes relating to security-based swaps that ...

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 ...

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) 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) ...

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

The IAA rule that requires firms to create a Form ADV brochure