(a) Client. You may deem the following to be a single client for purposes of section 202(a)(30) of the Act (15 U.S.C. 80b-2(a)(30)): (1) A ...
(a) Exclusion. A family office, as defined in this section, shall not be considered to be an investment adviser for purpose of the Act. (b) ...
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 transaction which does not result in a change of actual control or management of an investment adviser is not an assignment for purposes of ...
(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 ...
(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 ...
The procedure hereinbelow set forth will be followed with respect to any proceeding initiated by the filing of an application, or upon the Commission's own ...
This title may be cited as the "Investment Advisers Act of 1940". Legislative History Aug. 22, 1940, ch 686, Title II, 220, 54 Stat. 857