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
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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