Rules & Regulations

This is the Advisers Act's code of ethics rule

This section provides two “hardship exemptions” from the requirement to make Advisers Act filings electronically with the Investment Adviser Registration Depository (IARD). (a) Temporary hardship ...

For purposes of section 203A of the Act (15 U.S.C. 80b-3a) and the rules thereunder: (a)(1) Investment adviser representative. “Investment adviser representative” of an investment ...

(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 ...

This is the SEC's custody rule

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) 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) 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) ...

The term rules and regulations refers to all rules and regulations adopted by the Commission pursuant to the Act, including the forms for registration and ...

A transaction which does not result in a change of actual control or management of an investment adviser is not an assignment for purposes of ...