Source: https://www.law.cornell.edu/cfr/text/17/275.0-6
Timestamp: 2017-05-25 14:54:38
Document Index: 130741462

Matched Legal Cases: ['§ 228', '§ 229', '§ 80', '§ 80', '§ 80', '§ 80', '§ 80', '§ 80', 'art 275', 'art 275']

(a) A person filing an application may, subject to the limitations of § 228.10(f) and § 229.10(d) of this chapter, incorporate by reference as an exhibit to such application any document or part thereof, including any financial statement or part thereof, previously or concurrently filed with the Commission pursuant to any act administered by the Commission. The incorporation may be made whether the matter incorporated was filed by such applicant or any other person. If any modification has occurred in the text of any such document since the filing thereof, the applicant shall file with the reference a statement containing the text of any such modification and the date thereof. If the number of copies of any document previously or concurrently filed with the Commission is less than the number required to be filed with the application which incorporates such document, the applicant shall file therewith as many additional copies of the document as may be necessary to meet the requirements of the application. (b) Notwithstanding paragraph (a) of this section, a certificate of an independent public accountant or accountants previously or concurrently filed may not be incorporated by reference in any application unless the written consent of the accountant or accountants to such incorporation is filed with the application. (c) In each case of incorporation by reference, the matter incorporated shall be clearly identified in the reference. An express statement shall be made to the effect that the specified matter is incorporated in the application at the particular place where the information is required. (d) Notwithstanding paragraph (a) of this section, no application shall incorporate by reference any exhibit or financial statement which (1) has been withdrawn, or (2) was filed under any act administered by the Commission in connection with a registration which has ceased to be effective, or (3) is contained in an application for registration, registration statement, or report subject, at the time of the incorporation by reference, to pending proceedings under section 8(b) ( 15 U.S.C. 77a-8(b)) or 8(d) ( 15 U.S.C. 77a-8(d)) of the Securities Act of 1933 ( 15 U.S.C. 77a-1et seq.), section 8(e) ( 15 U.S.C. 80a-8(e)) of the Investment Company Act of 1940, section 15(b)(4)(A) ( 15 U.S.C. 78a-15(b)(4)(A)) of the Securities Exchange Act of 1934 ( 15 U.S.C. 78a-1et seq.), section 203(e)(1) ( 15 U.S.C. 80b-3(e)(1)) of the Investment Advisers Act of 1940 or to an order entered under any of those sections. (e) Notwithstanding paragraph (a) of this section, the Commission may refuse to permit incorporation by reference in any case in which in its judgment such incorporation would render an application incomplete, unclear, or confusing. (f)Definition of Application. For purposes of this rule, an “application” means any application for an order of the Commission under the Act other than an application for registration as an investment adviser. Note:
[ 41 FR 39020, Sept. 14, 1976, as amended at 60 FR 32825, June 23, 1995] This is a list of United States Code sections, Statutes at Large, Public Laws, and Presidential Documents, which provide rulemaking authority for this CFR Part.This list is taken from the Parallel Table of Authorities and Rules provided by GPO [Government Printing Office].It is not guaranteed to be accurate or up-to-date, though we do refresh the database weekly. More limitations on accuracy are described at the GPO site.United States CodeU.S. Code: Title 15 - COMMERCE AND TRADE§ 80b-2§ 80b-3§ 80b-4§ 80b-4a§ 80b-6§ 80b-11
Title 17 published on 09-May-2017 03:50The following are ALL rules, proposed rules, and notices (chronologically) published in the Federal Register relating to 17 CFR Part 275 after this date.2017-05-09; vol. 82 # 88 - Tuesday, May 9, 201782 FR 21487 - Amendments to Investment Advisers Act Rules To Reflect Changes Made by the FAST Act
2014-12-23; vol. 79 # 246 - Tuesday, December 23, 201479 FR 76880 - Temporary Rule Regarding Principal Trades With Certain Advisory Clients
2012-12-31; vol. 77 # 250 - Monday, December 31, 201277 FR 76854 - Temporary Rule Regarding Principal Trades With Certain Advisory Clients
2012-02-22; vol. 77 # 35 - Wednesday, February 22, 201277 FR 10358 - Investment Adviser Performance Compensation
typeregulations.gov FR Doc.2012-4046 RIN3235-AK71 Release No.IA-3372 File No.S7-17-11 SECURITIES AND EXCHANGE COMMISSION Final rule. Effective Date: The amendments are effective on May 22, 2012. 17 CFR Part 275 SummaryThe Securities and Exchange Commission (“Commission” or “SEC”) is adopting amendments to the rule under the Investment Advisers Act of 1940 that permits investment advisers to charge performance based compensation to “qualified clients.” The amendments revise the dollar amount thresholds of the rule&apos;s tests that are used to determine whether an individual or company is a qualified client. These rule amendments codify revisions that the Commission recently issued by order that adjust the dollar amount thresholds to account for the effects of inflation. In addition, the rule amendments: provide that the Commission will issue an order every five years in the future adjusting the dollar amount thresholds for inflation; exclude the value of a person&apos;s primary residence and certain associated debt from the test of whether a person has sufficient net worth to be considered a qualified client; and add certain transition provisions to the rule.