(a) Prohibitions. As a means reasonably designed to prevent fraudulent, deceptive or manipulative acts, practices, or courses of business within the meaning of section 206(4) ...
(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 ...
The IAA rule that requires firms to create a Form ADV brochure
(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) 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) ...
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 ...
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 ...
(a) For purposes of Commission rulemaking in accordance with the provisions of Chapter Six of the Administrative Procedure Act (5 U.S.C. 601 et seq.) and ...
The term rules and regulations refers to all rules and regulations adopted by the Commission pursuant to the Act, including the forms for registration and ...
(a) United States investment advisers. For purposes of section 203(m) of the Act (15 U.S.C. 80b-3(m)), an investment adviser with its principal office and place ...