What 17 CFR Part 275 - Rules and Regulations under the Investment Advisers Act of 1940 requires
17 CFR Part 275 contains the SEC rules implementing the Investment Advisers Act of 1940 and governs the registration and conduct of investment advisers. To register with the Commission, an adviser must complete and file Form ADV (Part 1A, the Part 2A firm brochure and the Part 3 Form CRS) electronically through the Investment Adviser Registration Depository. Every registered or required-to-be-registered adviser must make and keep true, accurate and current books and records relating to its advisory business. The adviser must establish, maintain and enforce a written code of ethics that reflects its fiduciary obligations, requires compliance with the Federal securities laws, and requires access persons to report their personal securities transactions and holdings. The marketing rule makes it unlawful to disseminate an advertisement containing untrue or unsubstantiated statements or misleading implications. The custody rule provides that having custody of client funds or securities is a fraudulent practice unless a qualified custodian maintains the assets, clients are notified, account statements are sent, and, where applicable, a surprise examination is performed. The pay-to-play rule bars an adviser from providing advisory services for compensation to a government entity for two years after certain political contributions. The compliance rule requires every adviser to adopt and implement written policies and procedures reasonably designed to prevent violations of the Act, to review them at least annually, and to designate a chief compliance officer.
Pillar: Banking & Global Finance · Authority: U.S. Securities and Exchange Commission (SEC) · Version: 1.0.0 · Last updated:
Primary source: https://www.ecfr.gov/current/title-17/chapter-II/part-275
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Primary Citations — 8 traced to source
- 17 CFR Part 275, § 275.203-1 - application for investment adviser registration (Form ADV filed through the IARD)
- 17 CFR Part 275, § 275.204-2 - books and records to be maintained by investment advisers
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