Federal (United States) · Regulations
Part 270 — RULES AND REGULATIONS, INVESTMENT COMPANY ACT OF 1940
178 sections
178 sections
- 17 C.F.R. § 270.0-2General requirements of papers and applications.
- 17 C.F.R. § 270.0-3Amendments to registration statements and reports.
- 17 C.F.R. § 270.0-4Incorporation by reference.
- 17 C.F.R. § 270.0-5Procedure with respect to applications and other matters.
- 17 C.F.R. § 270.0-8Payment of filing fees.
- 17 C.F.R. § 270.0-10Small entities under the Investment Company Act for purposes of the Regulatory Flexibility Act.
- 17 C.F.R. § 270.0-11Customer identification programs.
- 17 C.F.R. § 270.2a-1Valuation of portfolio securities in special cases.
- 17 C.F.R. § 270.2a-2Effect of eliminations upon valuation of portfolio securities.
- 17 C.F.R. § 270.2a-4Definition of “current net asset value” for use in computing periodically the current price of redeemable security.
- 17 C.F.R. § 270.2a-5Fair value determination and readily available market quotations.
- 17 C.F.R. § 270.2a-6Certain transactions not deemed assignments.
- 17 C.F.R. § 270.2a-7Money market funds.
- 17 C.F.R. § 270.2a-46Certain issuers as eligible portfolio companies.
- 17 C.F.R. § 270.2a3-1Investment company limited partners not deemed affiliated persons.
- 17 C.F.R. § 270.2a19-2Investment company general partners not deemed interested persons.
- 17 C.F.R. § 270.2a19-3Certain investment company directors not considered interested persons because of ownership of index fund securities.
- 17 C.F.R. § 270.2a41-1Valuation of standby commitments by registered investment companies.
- 17 C.F.R. § 270.2a51-1Definition of investments for purposes of section 2(a)(51) (definition of “qualified purchaser”); certain calculations.
- 17 C.F.R. § 270.2a51-2Definitions of beneficial owner for certain purposes under sections 2(a)(51) and 3(c)(7) and determining indirect ownership interests.
- 17 C.F.R. § 270.2a51-3Certain companies as qualified purchasers.
- 17 C.F.R. § 270.3a-1Certain prima facie investment companies.
- 17 C.F.R. § 270.3a-2Transient investment companies.
- 17 C.F.R. § 270.3a-3Certain investment companies owned by companies which are not investment companies.
- 17 C.F.R. § 270.3a-4Status of investment advisory programs.
- 17 C.F.R. § 270.3a-5Exemption for subsidiaries organized to finance the operations of domestic or foreign companies.
- 17 C.F.R. § 270.3a-6Foreign banks and foreign insurance companies.
- 17 C.F.R. § 270.3a-7Issuers of asset-backed securities.
- 17 C.F.R. § 270.3a-8Certain research and development companies.
- 17 C.F.R. § 270.3a-9Crowdfunding vehicle.
- 17 C.F.R. § 270.3c-1Definition of beneficial ownership for certain 3(c)(1) funds.
- 17 C.F.R. § 270.3c-2Definition of beneficial ownership in small business investment companies.
- 17 C.F.R. § 270.3c-3Definition of certain terms used in section 3(c)(1) of the Act with respect to certain debt securities offered by small business investment companies.
- 17 C.F.R. § 270.3c-4Definition of “common trust fund” as used in section 3(c)(3) of the Act.
- 17 C.F.R. § 270.3c-5Beneficial ownership by knowledgeable employees and certain other persons.
- 17 C.F.R. § 270.3c-6Certain transfers of interests in section 3(c)(1) and section 3(c)(7) funds.
- 17 C.F.R. § 270.3c-7Inflation-adjusted definition of qualifying venture capital fund.
- 17 C.F.R. § 270.5b-1Definition of “total assets.”
- 17 C.F.R. § 270.5b-2Exclusion of certain guarantees as securities of the guarantor.
- 17 C.F.R. § 270.5b-3Acquisition of repurchase agreement or refunded security treated as acquisition of underlying securities.
- 17 C.F.R. § 270.6a-5Purchase of certain debt securities by companies relying on section 6(a)(5) of the Act.
- 17 C.F.R. § 270.6b-1Exemption of employees' securities company pending determination of application.
- 17 C.F.R. § 270.6c-3Exemptions for certain registered variable life insurance separate accounts.
- 17 C.F.R. § 270.6c-6Exemption for certain registered separate accounts and other persons.
- 17 C.F.R. § 270.6c-7Exemptions 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.
- 17 C.F.R. § 270.6c-8Exemptions for registered separate accounts to impose a deferred sales load and to deduct certain administrative charges.
- 17 C.F.R. § 270.6c-10Exemption for certain open-end management investment companies to impose deferred sales loads.
- 17 C.F.R. § 270.6c-11Exchange-traded funds.
- 17 C.F.R. § 270.6d-1Exemption for certain closed-end investment companies.
- 17 C.F.R. § 270.6e-2Exemptions for certain variable life insurance separate accounts.
- 17 C.F.R. § 270.6e-3Exemptions for flexible premium variable life insurance separate accounts.
- 17 C.F.R. § 270.7d-1Specification of conditions and arrangements for Canadian management investment companies requesting order permitting registration.
- 17 C.F.R. § 270.7d-2Definition of “public offering” as used in section 7(d) of the Act with respect to certain Canadian tax-deferred retirement savings accounts.
- 17 C.F.R. § 270.8b-1Scope of §§ 270.8b-1 through 270.8b-31.
- 17 C.F.R. § 270.8b-2Definitions.
- 17 C.F.R. § 270.8b-3Title of securities.
- 17 C.F.R. § 270.8b-4Interpretation of requirements.
- 17 C.F.R. § 270.8b-5Time of filing original registration statement.
- 17 C.F.R. § 270.8b-10Requirements as to proper form.
- 17 C.F.R. § 270.8b-11Number of copies; signatures; binding.
- 17 C.F.R. § 270.8b-12Requirements as to paper, printing and language.
- 17 C.F.R. § 270.8b-13Preparation of registration statement or report.
- 17 C.F.R. § 270.8b-14Riders; inserts.
- 17 C.F.R. § 270.8b-15Amendments.
- 17 C.F.R. § 270.8b-16Amendments to registration statement.
- 17 C.F.R. § 270.8b-20Additional information.
- 17 C.F.R. § 270.8b-21Information unknown or not available.
- 17 C.F.R. § 270.8b-22Disclaimer of control.
- 17 C.F.R. § 270.8b-25Extension of time for furnishing information.
- 17 C.F.R. § 270.8b-30Additional exhibits.
- 17 C.F.R. § 270.8b-31Omission of substantially identical documents.
- 17 C.F.R. § 270.8f-1Deregistration of certain registered investment companies.
- 17 C.F.R. § 270.10b-1Definition of regular broker or dealer.
- 17 C.F.R. § 270.10e-1Death, disqualification, or bona fide resignation of directors.
- 17 C.F.R. § 270.10f-1Conditional exemption of certain underwriting transactions.
- 17 C.F.R. § 270.10f-2Exercise of warrants or rights received on portfolio securities.
- 17 C.F.R. § 270.10f-3Exemption for the acquisition of securities during the existence of an underwriting or selling syndicate.
- 17 C.F.R. § 270.11a-1Definition of “exchange” for purposes of section 11 of the Act.
- 17 C.F.R. § 270.11a-2Offers of exchange by certain registered separate accounts or others the terms of which do not require prior Commission approval.
- 17 C.F.R. § 270.11a-3Offers of exchange by open-end investment companies other than separate accounts.
- 17 C.F.R. § 270.12b-1Distribution of shares by registered open-end management investment company.
- 17 C.F.R. § 270.12d1-1Exemptions for investments in money market funds.
- 17 C.F.R. § 270.12d1-3Exemptions for investment companies relying on section 12(d)(1)(F) of the Act.
- 17 C.F.R. § 270.12d1-4Exemptions for investments in certain investment companies.
- 17 C.F.R. § 270.12d2-1Definition of insurance company for purposes of sections 12(d)(2) and 12(g) of the Act.
- 17 C.F.R. § 270.12d3-1Exemption of acquisitions of securities issued by persons engaged in securities related businesses.
- 17 C.F.R. § 270.13a-1Exemption for change of status by temporarily diversified company.
- 17 C.F.R. § 270.14a-1Use of notification pursuant to regulation E under the Securities Act of 1933.
- 17 C.F.R. § 270.14a-2Exemption from section 14(a) of the Act for certain registered separate accounts and their principal underwriters.
- 17 C.F.R. § 270.14a-3Exemption from section 14(a) of the Act for certain registered unit investment trusts and their principal underwriters.
- 17 C.F.R. § 270.15a-1Exemption from stockholders' approval of certain small investment advisory contracts.
- 17 C.F.R. § 270.15a-2Annual continuance of contracts.
- 17 C.F.R. § 270.15a-3Exemption for initial period of investment adviser of certain registered separate accounts from requirement of security holder approval of investment advisory contract.
- 17 C.F.R. § 270.15a-4Temporary exemption for certain investment advisers.
- 17 C.F.R. § 270.16a-1Exemption for initial period of directors of certain registered accounts from requirements of election by security holders.
- 17 C.F.R. § 270.17a-1Exemption of certain underwriting transactions exempted by § 270.10f-1.
- 17 C.F.R. § 270.17a-2Exemption of certain purchase, sale, or borrowing transactions.
- 17 C.F.R. § 270.17a-3Exemption of transactions with fully owned subsidiaries.
- 17 C.F.R. § 270.17a-4Exemption of transactions pursuant to certain contracts.
- 17 C.F.R. § 270.17a-5Pro rata distribution neither “sale” nor “purchase.”