{
  "node_id": "us-17-cfr-275-206-4-7-adviser-compliance-program-rule",
  "title": "US 17 CFR 275.206(4)-7 (Investment Advisers Act Rule 206(4)-7): Compliance Procedures and Practices",
  "domain": "Banking & Global Finance",
  "version": "1.0.0",
  "last_updated": "2026-06-28",
  "bluf": "Rule 206(4)-7 under the Investment Advisers Act of 1940 makes it unlawful, within the meaning of section 206, for a registered investment adviser to provide investment advice to clients unless it adopts and implements written policies and procedures reasonably designed to prevent violation of the Act and its rules, reviews their adequacy and the effectiveness of their implementation no less frequently than annually, and designates a chief compliance officer who is a supervised person to administer those policies and procedures. The rule is the foundation of the adviser compliance-program regime enforced by the SEC.",
  "paywall": {
    "status": "LOCKED",
    "unlock_cost_usd": "0.01",
    "skyfire_id": "41779894-ece2-4163-9761-b3b1b76e19b0"
  },
  "crosswalks": {
    "_available_keys": [
      "nist_framework",
      "iso_standard",
      "industry_mapping",
      "ai_overlay_2026"
    ],
    "_note": "Full crosswalk values included in vault response"
  },
  "dependencies": [
    "us-sec-17-cfr-275-investment-advisers-act-rules",
    "us-investment-advisers-act-1940",
    "us-dodd-frank-act-2010"
  ],
  "primary_citations_count": 7
}