Investment Advisers Act of 1940 - Rules

Rule 0-2 - General Procedures for Serving Non-Residents
Rule 0-3 - References to Rules and Regulations
Rule 0-4 - General requirements of papers and applications
Rule 0-5 - Procedure with respect to applications and other matters.
Rule 0-6 - Incorporation by reference in applications.
Rule 0-7 - Small entities under the Investment Advisers Act for purposes of the Regulatory Flex
Rule 202(a)(1)-1 - Certain transactions not deemed assignments.
Rule 202(a)(11)-1 - Certain Broker-Dealers.
Rule 202(a)(11)(G)-1 - Family offices.
Rule 202(a)(30)-1 - Foreign private advisers.
Rule 203-1 - Application for investment adviser registration.
Rule 203-2 - Withdrawal from investment adviser registration.
Rule 203-3 - Hardship exemptions
Rule 203(b)(3)-1 - Definition of "client" of an investment adviser.
Rule 203(b)(3)-2 - Methods of counting clients in certain private funds.
Rule 203-3(l)-1 - Venture capital fund defined..
Rule 203(m)-1 - Private fund adviser exemption.
Rule 203A-1 - Eligibility for SEC registration; Switching to or from SEC registration.
Rule 203A-2 - Exemptions from prohibition on Commission registration.
Rule 203A-3 Definitions.
Rule 203A-4 [Reserved]
Rule 203A-5 - Transition rules. [Reserved]
Rule 203A-6 - Reserved.
Rule 204-1 - Amendments to Form ADV.
Rule 204-2 - Books and records to be maintained by investment advisers.
Rule 204-3 - Delivery of brochures and brochure supplements.
Rule 204-4 - Reporting by exempt reporting advisers.
Rule 204-5 - Reserved
Rule 204A-1 - Investment Adviser Code of Ethics.
Rule 205-1 - Definition of “investment performance” of an investment company and “investment record” of an appropriate index of securities prices.
Rule 205-2 - Definition of “specified period” over which the asset value of the company or fund under management is averaged.
Rule 205-3 - Exemption from the compensation prohibition of section 205(a)(1) for investment advisers.
Rule 206(3)-1 - Exemption of investment advisers registered as broker-dealers in connection with the provision of certain investment advisory services.
Rule 206(3)-2 - Agency Cross Transactions for Advisory Clients.
Rule 206(3)-3T -Temporary rule for principal trades with certain advisory clients [Expired]
Rule 206(4)-1 -- Advertisements by Investment Advisers
Rule 206(4)-2 - Custody of funds or securities of clients by investment advisers.
Rule 206(4)-3 - Cash payments for client solicitations.
Rule 206(4)-4 - [Reserved] [Proposed adviser business continuity and transition plans-2016]
Rule 206(4)-5 Political contributions by certain investment advisers.
Rule 206(4)-6 - Proxy voting.
Rule 206(4)-7 - Compliance procedures and practices.
Rule 206(4)-8 - Pooled investment vehicles.
Rule 222-1 - Definitions.
Rule 222-2 - Definition of “client” for purposes of the national de minimis standard.