(a) Venture capital fund defined. For purposes of section 203(l) of the Act (15 U.S.C. 80b-3(l)), a venture capital fund is any entity described in subparagraph ...
(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) ...
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 ...
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 ...
(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 ...
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
The Investment Advisers Act of 1940Section 208 -- General ProhibitionsRepresentations of sponsorship by United States or agency thereof. It shall be unlawful for any person ...