Code of Federal Regulations Title 17. Commodity and Securities Exchanges CFR T. 17, Ch. II, Pt. 276, Int. Rel. Tbl

Subject

Date

Fed. Reg. Vol. and Page

Opinion of General Counsel relating to section 202(a)(11)(C) of the Investment Advisers Act of 1940.

2

Oct. 28, 1940

11 FR 10996.

Opinion of the General Counsel relating to the use of the name “investment counsel” under section 208(c) of the Investment Advisers Act of 1940.

8

Dec. 12, 1940

Do.

Opinion of Director of Trading and Exchange Division, relating to section 206 of the Investment Advisers Act of 1940, section 17(a) of the Securities Act of 1933, and sections 10(b) and 15(c)(1) of the Securities Exchange Act of 1934.

40

Feb. 5, 1945

11 FR 10997.

Opinion of the General Counsel relating to the use of “hedge clauses” by brokers, dealers, investment advisers, and others.

58

Apr. 10, 1951

16 FR 3387.

Statement of the Commission to clarify the meaning of “beneficial ownership of securities” as relates to beneficial ownership of securities held by family members.

194

Jan. 25, 1966

31 FR 1005.

Statement of the Commission setting the date of May 1, 1966 after which filings must reflect beneficial ownership of securities held by family members.

196

Feb. 14, 1966

31 FR 3175.

Statement of the Commission describing nature of examination required to be made of all funds and securities held by an investment adviser and the content of related accountant's certificate.

201

June 1, 1966

31 FR 7821.

Publication of the Commission's procedure to be followed if requests are to be met for no action or interpretative letters and responses thereto to be made available for public use.

281

Jan. 25, 1971

36 FR 2600.

Commission's statement of factors to be considered in connection with investment company advisory contracts containing incentive arrangements.

315

Apr. 19, 1972

37 FR 7690.

Applicability of Commission's policy statement on the future structure of securities markets to selection of brokers and payment of commissions by institutional managers.

318

May 18, 1972

37 FR 9988.

Commission's decisions on advisory committee recommendations regarding commencement of enforcement proceedings and termination of staff investigations.

336

Mar. 1, 1973

38 FR 5457.

Commission's statement on obligations of underwriters with respect to discretionary accounts.

377

June 29, 1973

38 FR 17201.

Applicability of investment advisers act to certain publications

563

Jan. 10, 1977

42 FR 2953; 42 FR 8140.

Contingent advisory compensation arrangements․․․․․․․․․․․․․

721

May 16, 1980

45 FR 34876.

Applicability of investment advisers act to financial planners, pension consultants, and other persons who provide investment advisory services as an integral component of other financially related services.

770

Aug. 13, 1981

46 FR 41771.

Statement of position of Commission's Division of Investment Management.

969

Apr. 30, 1985

50 FR 19341.

Statement of staff interpretive position regarding certain rules and forms; uniform registration, disclosure, and reporting requirements.

1000

Dec. 3, 1985

50 FR 49835.

Applicability of the investment Advisers Act to financial planners, pension consultants, and other persons who provide investment advisory services as a component of other financial services.

1092

Oct. 8, 1987

52 FR 38400.

Registration of Successors to Broker–Dealers and Investment Advisors

1357

Jan. 4, 1993

58 FR 11.

Use of electronic media for delivery purposes․․․․․․․․․․․․․

1562

May 9, 1996

61 FR 24651.

Statement of the Commission Regarding Use of Internet Web Sites to Offer Securities, Solicit Securities Transactions or Advertise Investment Services Offshore.

1710

Mar. 23, 1998

63 FR 14814.

Interpretation of Section 206(3) of the Investment Advisers Act of 1940.

1732

July 17, 1998

63 FR 39508.

Statement of the Commission Regarding Disclosure of Year 2000 Issues and Consequences by Public Companies, Investment Advisers, Investment Companies, and Municipal Securities Issuers

1738

July 29, 1998

63 FR 41404.

Release No. IA–2969․․․․․․․․․․․․․․․․․․․․․․․․․․․․․․․․․․․․․․․

Dec. 30, 2009

75 FR 1494.

Commission Guidance Regarding the Definition of the Terms “Spouse” and “Marriage” Following the Supreme Court's Decision in United States v. Windsor

IA–4122

June 19, 2015

80 FR 37537

Commission Interpretation Regarding Standard of Conduct for Investment Advisers

IA–5248

June 5, 2019

84 FR 33681.

Commission Interpretation Regarding the Solely Incidental Prong of the Broker-Dealer Exclusion from the Definition of Investment Adviser

IA–5249

June 5, 2019

84 FR 33689

Commission Guidance Regarding the Proxy Voting Responsibilities of Investment Advisers

IA-5325

August 21, 2019

84 FR 47427.

Supplement to Commission Guidance Regarding the Proxy Voting Responsibilities of Investment Advisers

IA-5547

September 3, 2020

85 FR 55157