17 C.F.R. PART 276—INTERPRETATIVE RELEASES RELATING TO THE INVESTMENT ADVISERS ACT OF 1940 AND GENERAL RULES AND REGULATIONS THEREUNDER


Title 17 - Commodity and Securities Exchanges


Title 17: Commodity and Securities Exchanges

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PART 276—INTERPRETATIVE RELEASES RELATING TO THE INVESTMENT ADVISERS ACT OF 1940 AND GENERAL RULES AND REGULATIONS THEREUNDER

Section Contents


 ----------------------------------------------------------------------------------------------------------------                                                      Release                      Subject                           No.         Date            Fed. Reg. Vol. and Page----------------------------------------------------------------------------------------------------------------Opinion of General Counsel relating to section              2   Oct. 28, 1940  11 FR 10996. 202(a)(11)(C) of the Investment Advisers Act of 1940.Opinion of the General Counsel relating to the use          8   Dec. 12, 1940   Do. of the name ``investment counsel'' under section 208(c) of the Investment Advisers Act of 1940.Opinion of Director of Trading and Exchange                40    Feb. 5, 1945  11 FR 10997. Division, relating to section 206 of the Investment Advisers Act of 1940, section 17(a) of the Securities Act of 1933, and sections 10(b) and 15(c)(1) of the Securities Exchange Act of 1934.Opinion of the General Counsel relating to the use         58   Apr. 10, 1951  16 FR 3387. of ``hedge clauses'' by brokers, dealers, investment advisers, and others.Statement of the Commission to clarify the meaning        194   Jan. 25, 1966  31 FR 1005. of ``beneficial ownership of securities'' as relates to beneficial ownership of securities held by family members.Statement of the Commission setting the date of May       196   Feb. 14, 1966  31 FR 3175. 1, 1966 after which filings must reflect beneficial ownership of securities held by family members.Statement of the Commission describing nature of          201    June 1, 1966  31 FR 7821. examination required to be made of all funds and securities held by an investment adviser and the content of related accountant's certificate.Publication of the Commission's procedure to be           281   Jan. 25, 1971  36 FR 2600. followed if requests are to be met for no action or interpretative letters and responses thereto to be made available for public use.Commission's statement of factors to be considered        315   Apr. 19, 1972  37 FR 7690. in connection with investment company advisory contracts containing incentive arrangements.Applicability of Commission's policy statement on         318    May 18, 1972  37 FR 9988. the future structure of securities markets to selection of brokers and payment of commissions by institutional managers.Commission's decisions on advisory committee              336    Mar. 1, 1973  38 FR 5457. recommendations regarding commencement of enforcement proceedings and termination of staff investigations.Commission's statement on obligations of                  377   June 29, 1973  38 FR 17201. underwriters with respect to discretionary accounts.Applicability of investment advisers act to certain       563   Jan. 10, 1977  42 FR 2953; publications.                                                                 42 FR 8140.Contingent advisory compensation arrangements......       721    May 16, 1980  45 FR 34876.Applicability of investment advisers act to               770   Aug. 13, 1981  46 FR 41771. financial planners, pension consultants, and other persons who provide investment advisory services as an integral component of other financially related services.Statement of position of Commission's Division of         969   Apr. 30, 1985  50 FR 19341. Investment Management.Statement of staff interpretive position regarding       1000    Dec. 3, 1985  50 FR 49835. certain rules and forms; uniform registration, disclolsure, and reporting requirements.Applicability of the investment Advisers Act to          1092    Oct. 8, 1987  52 FR 38400. financial planners, pension consultants, and other persons who provide investment advisory services as a component of other financial services.Registration of Successors to Broker-Dealers and         1357    Jan. 4, 1993  58 FR 11. Investment Advisors.Use of electronic media for delivery purposes......      1562     May 9, 1996  61 FR 24651.Statement of the Commission Regarding Use of             1710   Mar. 23, 1998  63 FR 14814 Internet Web Sites to Offer Securities, Solicit Securities Transactions or Advertise Investment Services Offshore.Interpretation of Section 206(3) of the Investment       1732   July 17, 1998  63 FR 39508 Advisers Act of 1940.Statement of the Commission Regarding Disclosure of      1738   July 29, 1998  63 FR 41404 Year 2000 Issues and Consequences by Public Companies, Investment Advisers, Investment Companies, and Municipal Securities Issuers.----------------------------------------------------------------------------------------------------------------

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