17 CFR Part 270
PART 270—RULES AND REGULATIONS, INVESTMENT COMPANY ACT OF 1940
- PART 270—RULES AND REGULATIONS, INVESTMENT COMPANY ACT OF 1940
- Chapter II—Securities and Exchange Commission
- § 270.0-1 Definition of terms used in this part.
- § 270.0-2 General requirements of papers and applications.
- § 270.0-3 Amendments to registration statements and reports.
- § 270.0-4 Incorporation by reference.
- § 270.0-5 Procedure with respect to applications and other matters.
- § 270.0-8 Payment of filing fees.
- § 270.0-9 [Reserved]
- § 270.0-10 Small entities under the Investment Company Act for purposes of the Regulatory Flexibility Act.
- § 270.0-11 Customer identification programs.
- § 270.2a-1 Valuation of portfolio securities in special cases.
- § 270.2a-2 Effect of eliminations upon valuation of portfolio securities.
- § 270.2a3-1 Investment company limited partners not deemed affiliated persons.
- § 270.2a-4 Definition of “current net asset value” for use in computing periodically the current price of redeemable security.
- § 270.2a-5 Fair value determination and readily available market quotations.
- § 270.2a-6 Certain transactions not deemed assignments.
- § 270.2a-7 Money market funds.
- § 270.2a19-2 Investment company general partners not deemed interested persons.
- § 270.2a19-3 Certain investment company directors not considered interested persons because of ownership of index fund securities.
- § 270.2a41-1 Valuation of standby commitments by registered investment companies.
- § 270.2a-46 Certain issuers as eligible portfolio companies.
- § 270.2a51-1 Definition of investments for purposes of section 2(a)(51) (definition of “qualified purchaser”); certain calculations.
- § 270.2a51-2 Definitions of beneficial owner for certain purposes under sections 2(a)(51) and 3(c)(7) and determining indirect ownership interests.
- § 270.2a51-3 Certain companies as qualified purchasers.
- § 270.3a-1 Certain prima facie investment companies.
- § 270.3a-2 Transient investment companies.
- § 270.3a-3 Certain investment companies owned by companies which are not investment companies.
- § 270.3a-4 Status of investment advisory programs.
- § 270.3a-5 Exemption for subsidiaries organized to finance the operations of domestic or foreign companies.
- § 270.3a-6 Foreign banks and foreign insurance companies.
- § 270.3a-7 Issuers of asset-backed securities.
- § 270.3a-8 Certain research and development companies.
- § 270.3a-9 Crowdfunding vehicle.
- § 270.3c-1 Definition of beneficial ownership for certain 3(c)(1) funds.
- § 270.3c-2 Definition of beneficial ownership in small business investment companies.
- § 270.3c-3 Definition of certain terms used in section 3(c)(1) of the Act with respect to certain debt securities offered by small business investment companies.
- § 270.3c-4 Definition of “common trust fund” as used in section 3(c)(3) of the Act.
- § 270.3c-5 Beneficial ownership by knowledgeable employees and certain other persons.
- § 270.3c-6 Certain transfers of interests in section 3(c)(1) and section 3(c)(7) funds.
- § 270.3c-7 Inflation-adjusted definition of qualifying venture capital fund.
- § 270.5b-1 Definition of “total assets.”
- § 270.5b-2 Exclusion of certain guarantees as securities of the guarantor.
- § 270.5b-3 Acquisition of repurchase agreement or refunded security treated as acquisition of underlying securities.
- § 270.6a-5 Purchase of certain debt securities by companies relying on section 6(a)(5) of the Act.
- § 270.6b-1 Exemption of employees' securities company pending determination of application.
- § 270.6c-3 Exemptions for certain registered variable life insurance separate accounts.
- § 270.6c-6 Exemption for certain registered separate accounts and other persons.
- § 270.6c-7 Exemptions 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.
- § 270.6c-8 Exemptions for registered separate accounts to impose a deferred sales load and to deduct certain administrative charges.
- § 270.6c-10 Exemption for certain open-end management investment companies to impose deferred sales loads.
- § 270.6c-11 Exchange-traded funds.
- § 270.6d-1 Exemption for certain closed-end investment companies.
- § 270.6e-2 Exemptions for certain variable life insurance separate accounts.
- § 270.6e-3 Exemptions for flexible premium variable life insurance separate accounts.
- § 270.7d-1 Specification of conditions and arrangements for Canadian management investment companies requesting order permitting registration.
- § 270.7d-2 Definition of “public offering” as used in section 7(d) of the Act with respect to certain Canadian tax-deferred retirement savings accounts.
- § 270.8b-1 Scope of §§ 270.8b-1 through 270.8b-31.
- § 270.8b-2 Definitions.
- § 270.8b-3 Title of securities.
- § 270.8b-4 Interpretation of requirements.
- § 270.8b-5 Time of filing original registration statement.
- § 270.8b-6 [Reserved]
- § 270.8b-10 Requirements as to proper form.
- § 270.8b-11 Number of copies; signatures; binding.
- § 270.8b-12 Requirements as to paper, printing and language.
- § 270.8b-13 Preparation of registration statement or report.
- § 270.8b-14 Riders; inserts.
- § 270.8b-15 Amendments.
- § 270.8b-16 Amendments to registration statement.
- § 270.8b-20 Additional information.
- § 270.8b-21 Information unknown or not available.
- § 270.8b-22 Disclaimer of control.
- §§ 270.8b-23-270.8b-24 [Reserved]
- § 270.8b-25 Extension of time for furnishing information.
- § 270.8b-30 Additional exhibits.
- § 270.8b-31 Omission of substantially identical documents.
- § 270.8b-32 [Reserved]
- § 270.8f-1 Deregistration of certain registered investment companies.
- § 270.10b-1 Definition of regular broker or dealer.
- § 270.10e-1 Death, disqualification, or bona fide resignation of directors.
- § 270.10f-1 Conditional exemption of certain underwriting transactions.
- § 270.10f-2 Exercise of warrants or rights received on portfolio securities.
- § 270.10f-3 Exemption for the acquisition of securities during the existence of an underwriting or selling syndicate.
- § 270.11a-1 Definition of “exchange” for purposes of section 11 of the Act.
- § 270.11a-2 Offers of exchange by certain registered separate accounts or others the terms of which do not require prior Commission approval.
- § 270.11a-3 Offers of exchange by open-end investment companies other than separate accounts.
- § 270.12b-1 Distribution of shares by registered open-end management investment company.
- § 270.12d1-1 Exemptions for investments in money market funds.
- § 270.12d1-2 [Reserved]
- § 270.12d1-3 Exemptions for investment companies relying on section 12(d)(1)(F) of the Act.
- § 270.12d1-4 Exemptions for investments in certain investment companies.
- § 270.12d2-1 Definition of insurance company for purposes of sections 12(d)(2) and 12(g) of the Act.
- § 270.12d3-1 Exemption of acquisitions of securities issued by persons engaged in securities related businesses.
- § 270.13a-1 Exemption for change of status by temporarily diversified company.
- § 270.14a-1 Use of notification pursuant to regulation E under the Securities Act of 1933.
- § 270.14a-2 Exemption from section 14(a) of the Act for certain registered separate accounts and their principal underwriters.
- § 270.14a-3 Exemption from section 14(a) of the Act for certain registered unit investment trusts and their principal underwriters.
- § 270.15a-1 Exemption from stockholders' approval of certain small investment advisory contracts.
- § 270.15a-2 Annual continuance of contracts.
- § 270.15a-3 Exemption for initial period of investment adviser of certain registered separate accounts from requirement of security holder approval of investment advisory contract.
- § 270.15a-4 Temporary exemption for certain investment advisers.
- § 270.16a-1 Exemption for initial period of directors of certain registered accounts from requirements of election by security holders.
- § 270.17a-1 Exemption of certain underwriting transactions exempted by § 270.10f-1.
- § 270.17a-2 Exemption of certain purchase, sale, or borrowing transactions.
- § 270.17a-3 Exemption of transactions with fully owned subsidiaries.
- § 270.17a-4 Exemption of transactions pursuant to certain contracts.
- § 270.17a-5 Pro rata distribution neither “sale” nor “purchase.”
- § 270.17a-6 Exemption for transactions with portfolio affiliates.
- § 270.17a-7 Exemption of certain purchase or sale transactions between an investment company and certain affiliated persons thereof.
- § 270.17a-8 Mergers of affiliated companies.
- § 270.17a-9 Purchase of certain securities from a money market fund by an affiliate, or an affiliate of an affiliate.
- § 270.17a-10 Exemption for transactions with certain subadvisory affiliates.
- § 270.17d-1 Applications regarding joint enterprises or arrangements and certain profit-sharing plans.
- § 270.17d-2 Form for report by small business investment company and affiliated bank.
- § 270.17d-3 Exemption relating to certain joint enterprises or arrangements concerning payment for distribution of shares of a registered open-end management investment company.
- § 270.17e-1 Brokerage transactions on a securities exchange.
- § 270.17f-1 Custody of securities with members of national securities exchanges.
- § 270.17f-2 Custody of investments by registered management investment company.
- § 270.17f-3 Free cash accounts for investment companies with bank custodians.
- § 270.17f-4 Custody of investment company assets with a securities depository.
- § 270.17f-5 Custody of investment company assets outside the United States.
- § 270.17f-6 Custody of investment company assets with Futures Commission Merchants and Commodity Clearing Organizations.
- § 270.17f-7 Custody of investment company assets with a foreign securities depository.
- § 270.17g-1 Bonding of officers and employees of registered management investment companies.
- § 270.17j-1 Personal investment activities of investment company personnel.
- § 270.18c-1 Exemption of privately held indebtedness.
- § 270.18c-2 Exemptions of certain debentures issued by small business investment companies.
- § 270.18f-1 Exemption from certain requirements of section 18(f)(1) (of the Act) for registered open-end investment companies which have the right to redeem in kind.
- § 270.18f-2 Fair and equitable treatment for holders of each class or series of stock of series investment companies.
- § 270.18f-3 Multiple class companies.
- § 270.18f-4 Exemption from the requirements of section 18 and section 61 for certain senior securities transactions.
- § 270.19a-1 Written statement to accompany dividend payments by management companies.
- § 270.19b-1 Frequency of distribution of capital gains.
- § 270.20a-1 Solicitation of proxies, consents and authorizations.
- §§ 270.20a-2-270.20a-4 [Reserved]
- § 270.22c-1 Pricing of redeemable securities for distribution, redemption and repurchase.
- § 270.22c-2 Redemption fees for redeemable securities.
- § 270.22d-1 Exemption from section 22(d) to permit sales of redeemable securities at prices which reflect sales loads set pursuant to a schedule.
- § 270.22d-2 Exemption from section 22(d) for certain registered separate accounts.
- § 270.22e-1 Exemption from section 22(e) of the Act during annuity payment period of variable annuity contracts participating in certain registered separate accounts.
- § 270.22e-2 Pricing of redemption requests in accordance with Rule 22c-1.
- § 270.22e-3 Exemption for liquidation of money market funds.
- § 270.22e-4 Liquidity risk management programs.
- § 270.23c-1 Repurchase of securities by closed-end companies.
- § 270.23c-2 Call and redemption of securities issued by registered closed-end companies.
- § 270.23c-3 Repurchase offers by closed-end companies.
- § 270.24b-1 Definitions.
- § 270.24b-2 Filing copies of sales literature.
- § 270.24b-3 Sales literature deemed filed.
- § 270.24b-4 Filing copies of covered investment fund research reports.
- § 270.24e-1 Filing of certain prospectuses as post-effective amendments to registration statements under the Securities Act of 1933.
- § 270.24f-2 Registration under the Securities Act of 1933 of certain investment company securities.
- § 270.26a-1 Payment of administrative fees to the depositor or principal underwriter of a unit investment trust; exemptive relief for separate accounts.
- § 270.27c-1 [Reserved]
- § 270.27d-1 Reserve requirements for principal underwriters and depositors to carry out the obligations to refund charges required by section 27(d) and section 27(f) of the Act.
- § 270.27d-2 [Reserved]
- § 270.27e-1 [Reserved]
- § 270.27f-1 [Reserved]
- § 270.27g-1 [Reserved]
- § 270.27h-1 [Reserved]
- § 270.27i-1 Exemption from Section 27(i)(2)(A) of the Act during annuity payment period of variable annuity contracts participating in certain registered separate accounts.
- § 270.28b-1 Investment in loans partially or wholly guaranteed under the Servicemen's Readjustment Act of 1944, as amended.
- § 270.30a-1 Annual report for registered investment companies.
- § 270.30a-2 Certification of Form N-CSR.
- § 270.30a-3 Controls and procedures.
- § 270.30a-4 Annual report for wholly-owned registered management investment company subsidiary of registered management investment company.
- §§ 270.30b1-1-270.b1-3 [Reserved]
- § 270.30b1-4 Report of proxy voting record.
- § 270.30b1-5 [Reserved]
- § 270.30b1-7 Monthly report for money market funds.
- § 270.30b1-8 Current report for money market funds.
- § 270.30b1-9 Monthly report.
- § 270.30b1-10 Current report for open-end and closed-end management investment companies.
- § 270.30b2-1 Filing of reports to stockholders.
- § 270.30d-1 Filing of copies of reports to shareholders.
- § 270.30e-1 Reports to stockholders of management companies.
- § 270.30e-2 Reports to shareholders of unit investment trusts.
- § 270.30e-3 Internet availability of reports to shareholders.
- § 270.30h-1 Applicability of section 16 of the Exchange Act to section 30(h).
- § 270.31a-1 Records to be maintained by registered investment companies, certain majority-owned subsidiaries thereof, and other persons having transactions with registered investment companies.
- § 270.31a-2 Records to be preserved by registered investment companies, certain majority-owned subsidiaries thereof, and other persons having transactions with registered investment companies.
- § 270.31a-3 Records prepared or maintained by other than person required to maintain and preserve them.
- § 270.31a-4 Records to be maintained and preserved by registered investment companies relating to fair value determinations.
- § 270.32a-1 Exemption of certain companies from affiliation provisions of section 32(a).
- § 270.32a-2 Exemption for initial period from vote of security holders on independent public accountant for certain registered separate accounts.
- § 270.32a-3 Exemption from provision of section 32(a)(1) regarding the time period during which a registered management investment company must select an independent public accountant.
- § 270.32a-4 Independent audit committees.
- § 270.34b-1 Sales literature deemed to be misleading.
- § 270.35d-1 Investment company names.
- § 270.38a-1 Compliance procedures and practices of certain investment companies.
- § 270.45a-1 Confidential treatment of names and addresses of dealers of registered investment company securities.
- § 270.55a-1 Investment activities of business development companies.
- § 270.57b-1 Exemption for downstream affiliates of business development companies.
- § 270.60a-1 Exemption for certain business development companies.
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