Securities Lawyer's Deskbook                          published by The University of Cincinnati College of Law

Index

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Rule 0-2 -- General Procedures for Serving Non-Residents

Rule 0-3 -- References to Rules and Regulations

Rule 0-4 -- General Requirements of Papers and Applications

Rule 0-5 -- Procedure with Respect to Applications and Other Matters

Rule 0-6 -- Incorporation by Reference in Applications

Rule 0-7 -- Small Entities under the Investment Advisers Act for Purposes of the Regulatory Flexibility Act

Rule 202(a)(1)-1 -- Certain Transactions not Deemed Assignments

Rule 202(a)(11)-1 -- Certain broker-dealers

Rule 203-1 -- Application for Investment Adviser Registration

Rule 203-2 -- Withdrawal from Investment Adviser Registration

Rule 203-3 -- Hardship Exemptions

Rule 203(b)(3)-1 -- Definition of "client" of an Investment Adviser

Rule 203(b)(3)-2 -- Methods for counting clients in certain private funds

Rule 203A-1 -- Eligibility for SEC Registration; Switching To or From SEC Registration

Rule 203A-2 -- Exemptions from Prohibition on Commission Registration

Rule 203A-3 -- Definitions

Rule 203A-4 -- Investment Advisers Registered with a State Securities Commission

Rule 203A-5 -- [Reserved]

Rule 203A-6 -- [Removed and reserved in Release No. 34-48167, effective July 11, 2003, 68 FR 42247.]

Rule 204-1 -- Amendments to Application for Registration

Rule 204-2 -- Books and Records to Be Maintained by Investment Advisers

Rule 204-3 -- Written Disclosure Statements

Rule 204A-1 -- Investment Adviser Codes of Ethics

Rule 205-1 -- Definition of "investment performance" of an Investment Company and "investment record" of an Appropriate Index of Securities Prices

Rule 205-2 -- Definition of "specified period" Over Which the Asset Value of the Company or Fund under Management is Averaged

Rule 205-3 -- Exemption from the Compensation Prohibition of Section 205(a)(1) for Investment Advisers

Rule 206(3)-1 -- Exemption of Investment Advisers Registered as Broker-Dealers in Connection with the Provision of Certain Investment Advisory Services

Rule 206(3)-2 -- Agency Cross Transactions for Advisory Clients

Rule 206(4)-1 -- Advertisements by Investment Advisers

Rule 206(4)-2 -- Custody or Possession of Funds or Securities of Clients

Rule 206(4)-3 -- Cash Payments for Client Solicitations

Rule 206(4)-4 -- Financial and Disciplinary Information that Investment Advisers Must Disclose to Clients

Rule 206(4)-6 -- Proxy Voting

Rule 206(4)-7 -- Compliance Procedures and Practices

Rule 206(4)-8 -- Pooled Investment Vehicles

Rule 222-1 -- Definitions

Rule 222-2 -- Definition of "client" for Purposes of the National de Minimis Standard

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