|
0-2 |
General requirements
of papers and
 |
|
0-3 |
References to rules
and regulations
|
|
0-4 |
General requirements
of papers and
|
|
0-5 |
Procedure with respect
to applications and
|
|
0-6 |
Incorporation by reference
in applications
|
|
0-7 |
Small entities under
the Investment Advisers
|
|
202(a)(1)-1 |
Certain transactions
not deemed assignments
|
|
202(a)(11)T |
Temporary rule regarding
certain broker
|
|
203-1 |
Application for investment
adviser registration
|
|
203-2 |
Withdrawal from investment
adviser
|
|
203-3 |
Hardship exemptions
|
|
203(b)(3)-1 |
Definition of ''client''
of an investment adviser
|
|
203(b)(3)-2 |
Methods for counting
clients in certain
|
|
203A-1 |
Eligibility for SEC
registration; switching to
|
|
203A-2 |
Exemptions from prohibition
on Commission
|
|
203A-3 |
Definitions
|
|
203A-4 |
Investment advisers
registered with a State
|
|
204-1 |
Amendments to application
for registration
|
|
204-2 |
Books and records to
be maintained by
|
|
204-3 |
Written disclosure
statements
|
|
204A-1 |
Investment adviser
codes of ethics
|
|
205-1 |
Definition of ''investment
performance'' of an
|
|
205-2 |
Definition of ''specified
period'' over which
|
|
205-3 |
Exemption from the
compensation
|
|
206(3)-1 |
Exemption of investment
advisers registered
|
|
206(3)-2 |
Agency cross transactions
for advisory clients
|
|
206(4)-1 |
Advertisements by investment
advisers
|
|
206(4)-2 |
Custody of funds or
securities of clients by
|
|
206(4)-3 |
Cash payments for client
solicitations
|
|
206(4)-4 |
Financial and disciplinary
information that
|
|
206(4)-6 |
Proxy voting
|
|
206(4)-7 |
Compliance procedures
and practices
|
|
222-1 |
Definitions
|
|
222-2 |
Definition of ''client''
for purposes of the
|
Findings
