CFR Part 270

CFR Part 270
in effect

Contents

section270.0-1. -1 Definition of terms used in this part.section270.0-2. -2 General requirements of papers and applications.section270.0-3. -3 Amendments to registration statements and reports.section270.0-4. -4 Incorporation by reference.section270.0-5. -5 Procedure with respect to applications and other matters.section270.0-8. -8 Payment of filing fees.section270.0-10. -10 Small entities under the Investment Company Act for purposes of the Regulatory Flexibility Act.section270.0-11. -11 Customer identification programs.section270.2a-1. a-1 Valuation of portfolio securities in special cases.section270.2a-2. a-2 Effect of eliminations upon valuation of portfolio securities.section270.2a-4. a-4 Definition of “current net asset value” for use in computing periodically the current price of redeemable security.section270.2a-5. a-5 Fair value determination and readily available market quotations.section270.2a-6. a-6 Certain transactions not deemed assignments.section270.2a-7. a-7 Money market funds.section270.2a19-2. a19-2 Investment company general partners not deemed interested persons.section270.2a19-3. a19-3 Certain investment company directors not considered interested persons because of ownership of index fund securities.section270.2a41-1. a41-1 Valuation of standby commitments by registered investment companies.section270.2a-46. a-46 Certain issuers as eligible portfolio companies.section270.2a51-1. a51-1 Definition of investments for purposes of section 2(a)(51) (definition of “qualified purchaser”); certain calculations.section270.2a51-2. a51-2 Definitions of beneficial owner for certain purposes under sections 2(a)(51) and 3(c)(7) and determining indirect ownership interests.section270.2a51-3. a51-3 Certain companies as qualified purchasers.section270.3a-1. a-1 Certain prima facie investment companies.section270.3a-2. a-2 Transient investment companies.section270.3a-3. a-3 Certain investment companies owned by companies which are not investment companies.section270.3a-4. a-4 Status of investment advisory programs.section270.3a-5. a-5 Exemption for subsidiaries organized to finance the operations of domestic or foreign companies.section270.3a-6. a-6 Foreign banks and foreign insurance companies.section270.3a-7. a-7 Issuers of asset-backed securities.section270.3a-8. a-8 Certain research and development companies.section270.3a-9. a-9 Crowdfunding vehicle.section270.3c-1. c-1 Definition of beneficial ownership for certain 3(c)(1) funds.section270.3c-2. c-2 Definition of beneficial ownership in small business investment companies.section270.3c-3. c-3 Definition of certain terms used in section 3(c)(1) of the Act with respect to certain debt securities offered by small business investment companies.section270.3c-4. c-4 Definition of “common trust fund” as used in section 3(c)(3) of the Act.section270.3c-5. c-5 Beneficial ownership by knowledgeable employees and certain other persons.section270.3c-6. c-6 Certain transfers of interests in section 3(c)(1) and section 3(c)(7) funds.section270.5b-1. b-1 Definition of “total assets.”section270.5b-2. b-2 Exclusion of certain guarantees as securities of the guarantor.section270.5b-3. b-3 Acquisition of repurchase agreement or refunded security treated as acquisition of underlying securities.section270.6a-5. a-5 Purchase of certain debt securities by companies relying on section 6(a)(5) of the Act.section270.6b-1. b-1 Exemption of employees' securities company pending determination of application.section270.6c-3. c-3 Exemptions for certain registered variable life insurance separate accounts.section270.6c-6. c-6 Exemption for certain registered separate accounts and other persons.section270.6c-7. c-7 Exemptions from certain provisions of sections 22(e) and 27 for registered separate accounts offering variable annuity contracts to participants in the Texas Optional Retirement Program.section270.6c-8. c-8 Exemptions for registered separate accounts to impose a deferred sales load and to deduct certain administrative charges.section270.6c-10. c-10 Exemption for certain open-end management investment companies to impose deferred sales loads.section270.6c-11. c-11 Exchange-traded funds.section270.6d-1. d-1 Exemption for certain closed-end investment companies.section270.6e-2. e-2 Exemptions for certain variable life insurance separate accounts.section270.6e-3. e-3 Exemptions for flexible premium variable life insurance separate accounts.section270.7d-1. d-1 Specification of conditions and arrangements for Canadian management investment companies requesting order permitting registration.section270.7d-2. d-2 Definition of “public offering” as used in section 7(d) of the Act with respect to certain Canadian tax-deferred retirement savings accounts.section270.8b-1. b-1 Scope of §§ 270.8b-1 through 270.8b-31.section270.8b-2. b-2 Definitions.section270.8b-3. b-3 Title of securities.section270.8b-4. b-4 Interpretation of requirements.section270.8b-5. b-5 Time of filing original registration statement.section270.8b-10. b-10 Requirements as to proper form.section270.8b-11. b-11 Number of copies; signatures; binding.section270.8b-12. b-12 Requirements as to paper, printing and language.section270.8b-13. b-13 Preparation of registration statement or report.section270.8b-14. b-14 Riders; inserts.section270.8b-15. b-15 Amendments.section270.8b-16. b-16 Amendments to registration statement.section270.8b-20. b-20 Additional information.section270.8b-21. b-21 Information unknown or not available.section270.8b-22. b-22 Disclaimer of control.section270.8b-25. b-25 Extension of time for furnishing information.section270.8b-30. b-30 Additional exhibits.section270.8b-31. b-31 Omission of substantially identical documents.section270.8f-1. f-1 Deregistration of certain registered investment companies.section270.10b-1. b-1 Definition of regular broker or dealer.section270.10e-1. e-1 Death, disqualification, or bona fide resignation of directors.section270.10f-1. f-1 Conditional exemption of certain underwriting transactions.section270.10f-2. f-2 Exercise of warrants or rights received on portfolio securities.section270.10f-3. f-3 Exemption for the acquisition of securities during the existence of an underwriting or selling syndicate.section270.11a-1. a-1 Definition of “exchange” for purposes of section 11 of the Act.section270.11a-2. a-2 Offers of exchange by certain registered separate accounts or others the terms of which do not require prior Commission approval.section270.11a-3. a-3 Offers of exchange by open-end investment companies other than separate accounts.section270.12b-1. b-1 Distribution of shares by registered open-end management investment company.section270.12d1-1. d1-1 Exemptions for investments in money market funds.section270.12d1-3. d1-3 Exemptions for investment companies relying on section 12(d)(1)(F) of the Act.section270.12d1-4. d1-4 Exemptions for investments in certain investment companies.section270.12d2-1. d2-1 Definition of insurance company for purposes of sections 12(d)(2) and 12(g) of the Act.section270.12d3-1. d3-1 Exemption of acquisitions of securities issued by persons engaged in securities related businesses.section270.13a-1. a-1 Exemption for change of status by temporarily diversified company.section270.14a-1. a-1 Use of notification pursuant to regulation E under the Securities Act of 1933.section270.14a-2. a-2 Exemption from section 14(a) of the Act for certain registered separate accounts and their principal underwriters.section270.14a-3. a-3 Exemption from section 14(a) of the Act for certain registered unit investment trusts and their principal underwriters.section270.15a-1. a-1 Exemption from stockholders' approval of certain small investment advisory contracts.section270.15a-2. a-2 Annual continuance of contracts.section270.15a-3. a-3 Exemption for initial period of investment adviser of certain registered separate accounts from requirement of security holder approval of investment advisory contract.section270.15a-4. a-4 Temporary exemption for certain investment advisers.section270.16a-1. a-1 Exemption for initial period of directors of certain registered accounts from requirements of election by security holders.section270.17a-1. a-1 Exemption of certain underwriting transactions exempted by § 270.10f-1.section270.17a-2. a-2 Exemption of certain purchase, sale, or borrowing transactions.section270.17a-3. a-3 Exemption of transactions with fully owned subsidiaries.section270.17a-4. a-4 Exemption of transactions pursuant to certain contracts.section270.17a-5. a-5 Pro rata distribution neither “sale” nor “purchase.”section270.17a-6. a-6 Exemption for transactions with portfolio affiliates.section270.17a-7. a-7 Exemption of certain purchase or sale transactions between an investment company and certain affiliated persons thereof.section270.17a-8. a-8 Mergers of affiliated companies.section270.17a-9. a-9 Purchase of certain securities from a money market fund by an affiliate, or an affiliate of an affiliate.section270.17a-10. a-10 Exemption for transactions with certain subadvisory affiliates.section270.17d-1. d-1 Applications regarding joint enterprises or arrangements and certain profit-sharing plans.section270.17d-2. d-2 Form for report by small business investment company and affiliated bank.section270.17d-3. d-3 Exemption relating to certain joint enterprises or arrangements concerning payment for distribution of shares of a registered open-end management investment company.section270.17e-1. e-1 Brokerage transactions on a securities exchange.section270.17f-1. f-1 Custody of securities with members of national securities exchanges.section270.17f-2. f-2 Custody of investments by registered management investment company.section270.17f-3. f-3 Free cash accounts for investment companies with bank custodians.section270.17f-4. f-4 Custody of investment company assets with a securities depository.section270.17f-5. f-5 Custody of investment company assets outside the United States.section270.17f-6. f-6 Custody of investment company assets with Futures Commission Merchants and Commodity Clearing Organizations.section270.17f-7. f-7 Custody of investment company assets with a foreign securities depository.section270.17g-1. g-1 Bonding of officers and employees of registered management investment companies.section270.17j-1. j-1 Personal investment activities of investment company personnel.section270.18c-1. c-1 Exemption of privately held indebtedness.section270.18c-2. c-2 Exemptions of certain debentures issued by small business investment companies.section270.18f-1. f-1 Exemption from certain requirements of section 18(f)(1) (of the Act) for registered open-end investment companies which have the right to redeem in kind.section270.18f-2. f-2 Fair and equitable treatment for holders of each class or series of stock of series investment companies.section270.18f-3. f-3 Multiple class companies.section270.18f-4. f-4 Exemption from the requirements of section 18 and section 61 for certain senior securities transactions.section270.19a-1. a-1 Written statement to accompany dividend payments by management companies.section270.19b-1. b-1 Frequency of distribution of capital gains.section270.20a-1. a-1 Solicitation of proxies, consents and authorizations.section270.22c-1. c-1 Pricing of redeemable securities for distribution, redemption and repurchase.section270.22c-2. c-2 Redemption fees for redeemable securities.section270.22d-1. d-1 Exemption from section 22(d) to permit sales of redeemable securities at prices which reflect sales loads set pursuant to a schedule.section270.22d-2. d-2 Exemption from section 22(d) for certain registered separate accounts.section270.22e-1. e-1 Exemption from section 22(e) of the Act during annuity payment period of variable annuity contracts participating in certain registered separate accounts.section270.22e-2. e-2 Pricing of redemption requests in accordance with Rule 22c-1.section270.22e-3. e-3 Exemption for liquidation of money market funds.section270.22e-4. e-4 Liquidity risk management programs.section270.23c-1. c-1 Repurchase of securities by closed-end companies.section270.23c-2. c-2 Call and redemption of securities issued by registered closed-end companies.section270.23c-3. c-3 Repurchase offers by closed-end companies.section270.24b-1. b-1 Definitions.section270.24b-2. b-2 Filing copies of sales literature.section270.24b-3. b-3 Sales literature deemed filed.section270.24b-4. b-4 Filing copies of covered investment fund research reports.section270.24e-1. e-1 Filing of certain prospectuses as post-effective amendments to registration statements under the Securities Act of 1933.section270.24f-2. f-2 Registration under the Securities Act of 1933 of certain investment company securities.section270.26a-1. a-1 Payment of administrative fees to the depositor or principal underwriter of a unit investment trust; exemptive relief for separate accounts.section270.27d-1. d-1 Reserve requirements for principal underwriters and depositors to carry out the obligations to refund charges required by section 27(d) and section 27(f) of the Act.section270.27i-1. i-1 Exemption from Section 27(i)(2)(A) of the Act during annuity payment period of variable annuity contracts participating in certain registered separate accounts.section270.28b-1. b-1 Investment in loans partially or wholly guaranteed under the Servicemen's Readjustment Act of 1944, as amended.section270.30a-1. a-1 Annual report for registered investment companies.section270.30a-2. a-2 Certification of Form N-CSR.section270.30a-3. a-3 Controls and procedures.section270.30a-4. a-4 Annual report for wholly-owned registered management investment company subsidiary of registered management investment company.section270.30b1-4. b1-4 Report of proxy voting record.section270.30b1-7. b1-7 Monthly report for money market funds.section270.30b1-8. b1-8 Current report for money market funds.section270.30b1-9. b1-9 Monthly report.section270.30b1-9(T). b1-9(T) Temporary rule regarding monthly report.section270.30b1-10. b1-10 Current report for open-end and closed-end management investment companies.section270.30b2-1. b2-1 Filing of reports to stockholders.section270.30d-1. d-1 Filing of copies of reports to shareholders.section270.30e-1. e-1 Reports to stockholders of management companies.section270.30e-2. e-2 Reports to shareholders of unit investment trusts.section270.30e-3. e-3 Internet availability of reports to shareholders.section270.30h-1. h-1 Applicability of section 16 of the Exchange Act to section 30(h).section270.31a-1. a-1 Records to be maintained by registered investment companies, certain majority-owned subsidiaries thereof, and other persons having transactions with registered investment companies.section270.31a-2. a-2 Records to be preserved by registered investment companies, certain majority-owned subsidiaries thereof, and other persons having transactions with registered investment companies.section270.31a-3. a-3 Records prepared or maintained by other than person required to maintain and preserve them.section270.31a-4. a-4 Records to be maintained and preserved by registered investment companies relating to fair value determinations.section270.32a-1. a-1 Exemption of certain companies from affiliation provisions of section 32(a).section270.32a-2. a-2 Exemption for initial period from vote of security holders on independent public accountant for certain registered separate accounts.section270.32a-3. a-3 Exemption from provision of section 32(a)(1) regarding the time period during which a registered management investment company must select an independent public accountant.section270.32a-4. a-4 Independent audit committees.section270.34b-1. b-1 Sales literature deemed to be misleading.section270.35d-1. d-1 Investment company names.section270.38a-1. a-1 Compliance procedures and practices of certain investment companies.section270.45a-1. a-1 Confidential treatment of names and addresses of dealers of registered investment company securities.section270.55a-1. a-1 Investment activities of business development companies.section270.57b-1. b-1 Exemption for downstream affiliates of business development companies.section270.60a-1. a-1 Exemption for certain business development companies.

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