What US 17 CFR Part 275: Rules and Regulations, Investment Advisers Act of 1940 requires
US 17 CFR Part 275 contains the SEC rules under the Investment Advisers Act of 1940 governing investment advisers registered with the SEC (over $110M assets under management or required by state law to register with SEC). Key rules include Rule 204-2 (recordkeeping), Rule 204A-1 (code of ethics), Rule 206(4)-1 (marketing rule), Rule 206(4)-7 (compliance program rule), Rule 206(4)-2 (custody rule), Rule 206(4)-5 (pay-to-play rule), and Rule 204-3 (brochure rule). Advisers owe fiduciary duty to clients including duty of care and duty of loyalty.
Pillar: Banking & Global Finance · Authority: US SEC · Version: 1.0.0 · Last updated:
Primary source: https://www.ecfr.gov/current/title-17/chapter-II/part-275
SHA-256 integrity: 1d79be5b1eb1089c16b2e737c09d4a27a90571a33e5700736a5ed0efab425ac1
Primary Citations — 5 traced to source
- US 17 CFR Rules and Regulations under the Investment Advisers Act of 1940
- US 17 CFR § 275.204-2 Books and records to be maintained by investment advisers
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