---
kind: "unit"
title: "17"
title_heading: "Commodity and Securities Exchanges"
key: "chII/part275"
level: "part"
label: "Part 275"
heading: "Rules and Regulations, Investment Advisers Act of 1940"
release: "ecfr-current"
date: "2026-08-27"
url: "https://uscodex.org/cfr/17/chII-part275"
sections_count: 39
---

# Part 275 — Rules and Regulations, Investment Advisers Act of 1940

Title 17 C.F.R. — Commodity and Securities Exchanges › Chapter II — Securities and Exchange Commission

## Sections

- [§275.0-2. General procedures for serving non-residents.](/cfr/17/275.0-2.md)
- [§275.0-3. References to rules and regulations.](/cfr/17/275.0-3.md)
- [§275.0-4. General requirements of papers and applications.](/cfr/17/275.0-4.md)
- [§275.0-5. Procedure with respect to applications and other matters.](/cfr/17/275.0-5.md)
- [§275.0-6. Incorporation by reference in applications.](/cfr/17/275.0-6.md)
- [§275.0-7. Small entities under the Investment Advisers Act for purposes of the Regulatory Flexibility Act.](/cfr/17/275.0-7.md)
- [§275.202(a)(1)-1. Certain transactions not deemed assignments.](/cfr/17/275.202(a)(1)-1.md)
- [§275.202(a)(11)(G)-1. Family offices.](/cfr/17/275.202(a)(11)(G)-1.md)
- [§275.202(a)(30)-1. Foreign private advisers.](/cfr/17/275.202(a)(30)-1.md)
- [§275.203-1. Application for investment adviser registration.](/cfr/17/275.203-1.md)
- [§275.203-2. Withdrawal from investment adviser registration.](/cfr/17/275.203-2.md)
- [§275.203-3. Hardship exemptions.](/cfr/17/275.203-3.md)
- [§275.203(l)-1. Venture capital fund defined.](/cfr/17/275.203(l)-1.md)
- [§275.203(m)-1. Private fund adviser exemption.](/cfr/17/275.203(m)-1.md)
- [§275.203A-1. Eligibility for SEC registration; Switching to or from SEC registration.](/cfr/17/275.203A-1.md)
- [§275.203A-2. Exemptions from prohibition on Commission registration.](/cfr/17/275.203A-2.md)
- [§275.203A-3. Definitions.](/cfr/17/275.203A-3.md)
- [§275.203A-4 - 275.203A-6. 275.203A-4-275.203A-6 [Reserved]](/cfr/17/275.203A-4%20-%20275.203A-6.md)
- [§275.204-1. Amendments to Form ADV.](/cfr/17/275.204-1.md)
- [§275.204-2. Books and records to be maintained by investment advisers.](/cfr/17/275.204-2.md)
- [§275.204-3. Delivery of brochures and brochure supplements.](/cfr/17/275.204-3.md)
- [§275.204-4. Reporting by exempt reporting advisers.](/cfr/17/275.204-4.md)
- [§275.204-5. Delivery of Form CRS.](/cfr/17/275.204-5.md)
- [§275.204(b)-1. Reporting by investment advisers to private funds.](/cfr/17/275.204(b)-1.md)
- [§275.204A-1. Investment adviser codes of ethics.](/cfr/17/275.204A-1.md)
- [§275.205-1. Definition of “investment performance” of an investment company and “investment record” of an appropriate index of securities prices.](/cfr/17/275.205-1.md)
- [§275.205-2. Definition of “specified period” over which the asset value of the company or fund under management is averaged.](/cfr/17/275.205-2.md)
- [§275.205-3. Exemption from the compensation prohibition of section 205(a)(1) for investment advisers.](/cfr/17/275.205-3.md)
- [§275.206(3)-1. Exemption of investment advisers registered as broker-dealers in connection with the provision of certain investment advisory services.](/cfr/17/275.206(3)-1.md)
- [§275.206(3)-2. Agency cross transactions for advisory clients.](/cfr/17/275.206(3)-2.md)
- [§275.206(4)-1. Investment adviser marketing.](/cfr/17/275.206(4)-1.md)
- [§275.206(4)-2. Custody of funds or securities of clients by investment advisers.](/cfr/17/275.206(4)-2.md)
- [§275.206(4)-(3) - 275.206(4)-4. 275.206(4)-(3)-275.206(4)-4 [Reserved]](/cfr/17/275.206(4)-(3)%20-%20275.206(4)-4.md)
- [§275.206(4)-5. Political contributions by certain investment advisers.](/cfr/17/275.206(4)-5.md)
- [§275.206(4)-6. Proxy voting.](/cfr/17/275.206(4)-6.md)
- [§275.206(4)-7. Compliance procedures and practices.](/cfr/17/275.206(4)-7.md)
- [§275.206(4)-8. Pooled investment vehicles.](/cfr/17/275.206(4)-8.md)
- [§275.222-1. Definitions.](/cfr/17/275.222-1.md)
- [§275.222-2. Definition of “client” for purposes of the national de minimis standard.](/cfr/17/275.222-2.md)