For purposes of section 222(d)(2) of the Act, an investment adviser may rely upon the definition of “client” provided by §275.202(a)(30)-1, without giving regard to ...
For purposes of section 222 of the Act: (a) Place of business. “Place of business” of an investment adviser means: (1) An office at which ...
(a) Form ADV-W. You must file Form ADV-W to withdraw from investment adviser registration with the Commission (or to withdraw a pending registration application). (b) ...
(a) For purposes of this rule: (1) Fulcrum fee shall mean the fee which is paid or earned when the investment company's performance is equivalent ...
(a) An investment adviser which is a broker or dealer registered pursuant to section 15 of the Securities Exchange Act of 1934 shall be exempt ...
(a) Eligibility for SEC registration of mid-sized investment advisers. If you are an investment adviser described in section 203A(a)(2)(B) of the Act (15 U.S.C. 80b-3a(a)(2)(B)): ...
(a) An investment adviser, or a person registered as a broker-dealer under section 15 of the Securities Exchange Act of 1934 and controlling, controlled by, ...
(a) Investment performance of an investment company for any period shall mean the sum of: (1) The change in its net asset value per share ...
This section provides two “hardship exemptions” from the requirement to make Advisers Act filings electronically with the Investment Adviser Registration Depository (IARD). (a) Temporary hardship ...
For purposes of section 203A of the Act (15 U.S.C. 80b-3a) and the rules thereunder: (a)(1) Investment adviser representative. “Investment adviser representative” of an investment ...