Source: http://www.law.cornell.edu/cfr/text/17/270
Timestamp: 2013-12-10 16:52:37
Document Index: 770796165

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17 CFR Part 270 - RULES AND REGULATIONS, INVESTMENT COMPANY ACT OF 1940 | Title 17 - Commodity and Securities Exchanges | Code of Federal Regulations | LII / Legal Information Institute
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§ 270.0-10 — Small entities under the Investment Company Act for purposes of the Regulatory Flexibility Act.
§ 270.2a19-3 — Certain investment company directors not considered interested persons because of ownership of index fund securities.
§ 270.2a41-1 — Valuation of standby commitments by registered investment companies.
§ 270.2a51-1 — Definition of investments for purposes of section 2(a)(51) (definition of “qualified purchaser”); certain calculations.
§ 270.2a51-2 — Definitions of beneficial owner for certain purposes under sections 2(a)(51) and 3(c)(7) and determining indirect ownership interests.
§ 270.2a-4 — Definition of “current net asset value” for use in computing periodically the current price of redeemable security.
§ 270.3a-3 — Certain investment companies owned by companies which are not investment companies.
§ 270.3a-5 — Exemption for subsidiaries organized to finance the operations of domestic or foreign companies.
§ 270.3c-2 — Definition of beneficial ownership in small business investment companies.
§ 270.3c-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.
§ 270.3c-4 — Definition of “common trust fund” as used in section 3(c)(3) of the Act.
§ 270.3c-5 — Beneficial ownership by knowledgeable employees and certain other persons.
§ 270.3c-6 — Certain transfers of interests in section 3(c)(1) and section 3(c)(7) funds.
§ 270.5b-3 — Acquisition of repurchase agreement or refunded security treated as acquisition of underlying securities.
§ 270.6b-1 — Exemption of employees' securities company pending determination of application.
§ 270.6c-3 — Exemptions for certain registered variable life insurance separate accounts.
§ 270.6c-6 — Exemption for certain registered separate accounts and other persons.
§ 270.6c-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.
§ 270.6c-8 — Exemptions for registered separate accounts to impose a deferred sales load and to deduct certain administrative charges.
§ 270.6c-10 — Exemption for certain open-end management investment companies to impose deferred sales loads.
§ 270.6e-3(T) — Temporary exemptions for flexible premium variable life insurance separate accounts.
§ 270.7d-1 — Specification of conditions and arrangements for Canadian management investment companies requesting order permitting registration.
§ 270.7d-2 — Definition of “public offering” as used in section 7(d) of the Act with respect to certain Canadian tax-deferred retirement savings accounts.
§ 270.10f-3 — Exemption for the acquisition of securities during the existence of an underwriting or selling syndicate.
§ 270.11a-2 — Offers of exchange by certain registered separate accounts or others the terms of which do not require prior Commission approval.
§ 270.11a-3 — Offers of exchange by open-end investment companies other than separate accounts.
§ 270.12b-1 — Distribution of shares by registered open-end management investment company.
§ 270.12d1-2 — Exemptions for investment companies relying on section 12(d)(1)(G) of the Act.
§ 270.12d1-3 — Exemptions for investment companies relying on section 12(d)(1)(F) of the Act.
§ 270.12d2-1 — Definition of insurance company for purposes of sections 12(d)(2) and 12(g) of the Act.
§ 270.12d3-1 — Exemption of acquisitions of securities issued by persons engaged in securities related businesses.
§ 270.14a-1 — Use of notification pursuant to regulation E under the Securities Act of 1933.
§ 270.14a-2 — Exemption from section 14(a) of the Act for certain registered separate accounts and their principal underwriters.
§ 270.14a-3 — Exemption from section 14(a) of the Act for certain registered unit investment trusts and their principal underwriters.
§ 270.15a-1 — Exemption from stockholders' approval of certain small investment advisory contracts.
§ 270.15a-3 — Exemption for initial period of investment adviser of certain registered separate accounts from requirement of security holder approval of investment advisory contract.
§ 270.16a-1 — Exemption for initial period of directors of certain registered accounts from requirements of election by security holders.
§ 270.17a-1 — Exemption of certain underwriting transactions exempted by § 270.10f-1.
§ 270.17a-7 — Exemption of certain purchase or sale transactions between an investment company and certain affiliated persons thereof.
§ 270.17a-9 — Purchase of certain securities from a money market fund by an affiliate, or an affiliate of an affiliate.
§ 270.17d-1 — Applications regarding joint enterprises or arrangements and certain profit-sharing plans.
§ 270.17d-2 — Form for report by small business investment company and affiliated bank.
§ 270.17d-3 — Exemption relating to certain joint enterprises or arrangements concerning payment for distribution of shares of a registered open-end management investment company.
§ 270.17f-1 — Custody of securities with members of national securities exchanges.
§ 270.17f-6 — Custody of investment company assets with Futures Commission Merchants and Commodity Clearing Organizations.
§ 270.17f-7 — Custody of investment company assets with a foreign securities depository.
§ 270.17g-1 — Bonding of officers and employees of registered management investment companies.
§ 270.18c-2 — Exemptions of certain debentures issued by small business investment companies.
§ 270.18f-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.
§ 270.18f-2 — Fair and equitable treatment for holders of each class or series of stock of series investment companies.
§ 270.19a-1 — Written statement to accompany dividend payments by management companies.
§ 270.22c-1 — Pricing of redeemable securities for distribution, redemption and repurchase.
§ 270.22d-1 — Exemption from section 22(d) to permit sales of redeemable securities at prices which reflect sales loads set pursuant to a schedule.
§ 270.22d-2 — Exemption from section 22(d) for certain registered separate accounts.
§ 270.22e-1 — Exemption from section 22(e) of the Act during annuity payment period of variable annuity contracts participating in certain registered separate accounts.
§ 270.23c-2 — Call and redemption of securities issued by registered closed-end companies.
§ 270.24e-1 — Filing of certain prospectuses as post-effective amendments to registration statements under the Securities Act of 1933.
§ 270.24f-2 — Registration under the Securities Act of 1933 of certain investment company securities.
§ 270.26a-1 — Payment of administrative fees to the depositor or principal underwriter of a unit investment trust; exemptive relief for separate accounts.
§ 270.26a-2 — Exemptions from certain provisions of sections 26 and 27 for registered separate accounts and others regarding custodianship of and deduction of certain fees and charges from the assets of such accounts.
§ 270.27a-1 — Conditions for compliance with and exemptions from certain provisions of section 27(a)(1) and section 27(h)(1) of the Act for certain registered separate accounts.
§ 270.27a-2 — Exemption from section 27(a)(3) and section 27(h)(3) of the Act for certain registered separate accounts.
§ 270.27a-3 — Exemption from section 27(a)(4) and section 27(h)(5) of the Act for certain registered separate accounts.
§ 270.27c-1 — Exemption from section 27(c)(1) and section 27(d) of the Act during annuity payment period of variable annuity contracts participating in certain registered separate accounts.
§ 270.27d-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.
§ 270.27e-1 — Requirements for notice to be mailed to certain purchasers of periodic payment plan certificates sold subject to section 27(d) of the Act.
§ 270.27f-1 — Notice of right of withdrawal required to be mailed to periodic payment plan certificate holders and exemption from section 27(f) for certain periodic payment plan certificates.
§ 270.28b-1 — Investment in loans partially or wholly guaranteed under the Servicemen's Readjustment Act of 1944, as amended.
§ 270.30b1-2 — Semi-annual report for totally-owned registered management investment company subsidiary of registered management investment company.
§ 270.31a-1 — Records to be maintained by registered investment companies, certain majority-owned subsidiaries thereof, and other persons having transactions with registered investment companies.
§ 270.31a-2 — Records to be preserved by registered investment companies, certain majority-owned subsidiaries thereof, and other persons having transactions with registered investment companies.
§ 270.31a-3 — Records prepared or maintained by other than person required to maintain and preserve them.
§ 270.32a-1 — Exemption of certain companies from affiliation provisions of section 32(a).
§ 270.32a-2 — Exemption for initial period from vote of security holders on independent public accountant for certain registered separate accounts.
§ 270.32a-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.
§ 270.38a-1 — Compliance procedures and practices of certain investment companies.
§ 270.45a-1 — Confidential treatment of names and addresses of dealers of registered investment company securities.
§ 270.57b-1 — Exemption for downstream affiliates of business development companies.
Section 270.0-1 also issued under sec. 38(a) (15 U.S.C. 80a-37(a));