---
kind: "section"
citation: "17 C.F.R. § 275.0-2"
title: "17"
number: "275.0-2"
heading: "General procedures for serving non-residents."
url: "https://uscodex.org/cfr/17/275.0-2"
---

# §275.0-2. General procedures for serving non-residents.

- (a) **General procedures for serving process, pleadings, or other papers on non-resident investment advisers, general partners and managing agents.** Under Forms ADV and ADV-NR [17 CFR [279.1](/cfr/17/279.1.md) and [279.4](/cfr/17/279.4.md)], a person may serve process, pleadings, or other papers on a non-resident investment adviser, or on a non-resident general partner or non-resident managing agent of an investment adviser by serving any or all of its appointed agents:
  - (1) A person may serve a non-resident investment adviser, non-resident general partner, or non-resident managing agent by furnishing the Commission with one copy of the process, pleadings, or papers, for each named party, and one additional copy for the Commission's records.
  - (2) If process, pleadings, or other papers are served on the Commission as described in this section, the Secretary of the Commission (Secretary) will promptly forward a copy to each named party by registered or certified mail at that party's last address filed with the Commission.
  - (3) If the Secretary certifies that the Commission was served with process, pleadings, or other papers pursuant to [paragraph (a)(1)](#a-1) of this section and forwarded these documents to a named party pursuant to [paragraph (a)(2)](#a-2) of this section, this certification constitutes evidence of service upon that party.
- (b) **Definitions.** For purposes of this section:
  - (1) Managing agent means any person, including a trustee, who directs or manages, or who participates in directing or managing, the affairs of any unincorporated organization or association other than a partnership.
  - (2) **Non-resident—** means:
    - (i) An individual who resides in any place not subject to the jurisdiction of the United States;
    - (ii) A corporation that is incorporated in or that has its principal office and place of business in any place not subject to the jurisdiction of the United States; and
    - (iii) A partnership or other unincorporated organization or association that has its principal office and place of business in any place not subject to the jurisdiction of the United States.
  - (3) **Principal office and place of business—** has the same meaning as in [§ 275.203A-3(c)](/cfr/17/275.203A-3.md?p=c) of this chapter.

## Notes

### Amendments

[65 FR 57448, Sept. 22, 2000]

### Authority

Authority: 15 U.S.C. 80b-2(a)(11)(G), 80b-2(a)(11)(H), 80b-2(a)(17), 80b-3, 80b-4, 80b-4a, 80b-6(4), 80b-6a, 80b-11, 1681w(a)(1), 6801-6809, and 6825, unless otherwise noted. Section 275.203A-1 is also issued under 15 U.S.C. 80b-3a. Section 275.203A-2 is also issued under 15 U.S.C. 80b-3a. Section 275.203A-3 is also issued under 15 U.S.C. 80b-3a. Section 275.204-1 is also issued under sec. 407 and 408, Pub. L. 111-203, 124 Stat. 1376. Section 275.204-2 is also issued under 15 U.S.C. 80b-6. Section 275.205-3 is also issued under 15 U.S.C. 80b-5(e). Section 275.204-4 is also issued under sec. 407 and 408, Pub. L. 111-203, 124 Stat. 1376. Section 275.204-5 is also issued under sec. 913, Public Law 111-203, sec. 124 Stat. 1827-28 (2010).

### Amendments

[65 FR 57448, Sept. 22, 2000]