Part 270 - RULES AND REGULATIONS, INVESTMENT COMPANY ACT OF 1940
- Section 270.0-1 - Definition of terms used in this part
- Section 270.0-2 - General requirements of papers and applications
- Section 270.0-3 - Amendments to registration statements and reports
- Section 270.0-4 - Incorporation by reference
- Section 270.0-5 - Procedure with respect to applications and other matters
- Section 270.0-8 - Payment of filing fees
- Section 270.0-9 - Reserved
- Section 270.0-10 - Small entities under the Investment Company Act for purposes of the Regulatory Flexibility Act
- Section 270.0-11 - Customer identification programs
- Section 270.2a-1 - Valuation of portfolio securities in special cases
- Section 270.2a-2 - Effect of eliminations upon valuation of portfolio securities
- Section 270.2a3-1 - Investment company limited partners not deemed affiliated persons
- Section 270.2a-4 - Definition of "current net asset value" for use in computing periodically the current price of redeemable security
- Section 270.2a-5 - Fair value determination and readily available market quotations
- Section 270.2a-6 - Certain transactions not deemed assignments
- Section 270.2a-7 - Money market funds
- Section 270.2a19-2 - Investment company general partners not deemed interested persons
- Section 270.2a19-3 - Certain investment company directors not considered interested persons because of ownership of index fund securities
- Section 270.2a41-1 - Valuation of standby commitments by registered investment companies
- Section 270.2a-46 - Certain issuers as eligible portfolio companies
- Section 270.2a51-1 - Definition of investments for purposes of section 2(a)(51) (definition of "qualified purchaser"); certain calculations
- Section 270.2a51-2 - Definitions of beneficial owner for certain purposes under sections 2(a)(51) and 3(c)(7) and determining indirect ownership interests
- Section 270.2a51-3 - Certain companies as qualified purchasers
- Section 270.3a-1 - Certain prima facie investment companies
- Section 270.3a-2 - Transient investment companies
- Section 270.3a-3 - Certain investment companies owned by companies which are not investment companies
- Section 270.3a-4 - Status of investment advisory programs
- Section 270.3a-5 - Exemption for subsidiaries organized to finance the operations of domestic or foreign companies
- Section 270.3a-6 - Foreign banks and foreign insurance companies
- Section 270.3a-7 - Issuers of asset-backed securities
- Section 270.3a-8 - Certain research and development companies
- Section 270.3a-9 - Crowdfunding vehicle
- Section 270.3c-1 - Definition of beneficial ownership for certain 3(c)(1) funds
- Section 270.3c-2 - Definition of beneficial ownership in small business investment companies
- Section 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
- Section 270.3c-4 - Definition of "common trust fund" as used in section 3(c)(3) of the Act
- Section 270.3c-5 - Beneficial ownership by knowledgeable employees and certain other persons
- Section 270.3c-6 - Certain transfers of interests in section 3(c)(1) and section 3(c)(7) funds
- Section 270.3c-7 - Inflation-adjusted definition of qualifying venture capital fund
- Section 270.5b-1 - Definition of "total assets."
- Section 270.5b-2 - Exclusion of certain guarantees as securities of the guarantor
- Section 270.5b-3 - Acquisition of repurchase agreement or refunded security treated as acquisition of underlying securities
- Section 270.6a-5 - Purchase of certain debt securities by companies relying on section 6(a)(5) of the Act
- Section 270.6b-1 - Exemption of employees' securities company pending determination of application
- Section 270.6c-3 - Exemptions for certain registered variable life insurance separate accounts
- Section 270.6c-6 - Exemption for certain registered separate accounts and other persons
- Section 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
- Section 270.6c-8 - Exemptions for registered separate accounts to impose a deferred sales load and to deduct certain administrative charges
- Section 270.6c-10 - Exemption for certain open-end management investment companies to impose deferred sales loads
- Section 270.6c-11 - Exchange-traded funds
- Section 270.6d-1 - Exemption for certain closed-end investment companies
- Section 270.6e-2 - Exemptions for certain variable life insurance separate accounts
- Section 270.6e-3 - Exemptions for flexible premium variable life insurance separate accounts
- Section 270.7d-1 - Specification of conditions and arrangements for Canadian management investment companies requesting order permitting registration
- Section 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
- Section 270.8b-1 - Scope of Sections 270.8b-1 through 270.8b-31
- Section 270.8b-2 - Definitions
- Section 270.8b-3 - Title of securities
- Section 270.8b-4 - Interpretation of requirements
- Section 270.8b-5 - Time of filing original registration statement
- Section 270.8b-6 - Reserved
- Section 270.8b-10 - Requirements as to proper form
- Section 270.8b-11 - Number of copies; signatures; binding
- Section 270.8b-12 - Requirements as to paper, printing and language
- Section 270.8b-13 - Preparation of registration statement or report
- Section 270.8b-14 - Riders; inserts
- Section 270.8b-15 - Amendments
- Section 270.8b-16 - Amendments to registration statement
- Section 270.8b-20 - Additional information
- Section 270.8b-21 - Information unknown or not available
- Section 270.8b-22 - Disclaimer of control
- Section 270.8b-23 - 270.8b-24 - Reserved
- Section 270.8b-25 - Extension of time for furnishing information
- Section 270.8b-30 - Additional exhibits
- Section 270.8b-31 - Omission of substantially identical documents
- Section 270.8b-32 - Reserved
- Section 270.8f-1 - Deregistration of certain registered investment companies
- Section 270.10b-1 - Definition of regular broker or dealer
- Section 270.10e-1 - Death, disqualification, or bona fide resignation of directors
- Section 270.10f-1 - Conditional exemption of certain underwriting transactions
- Section 270.10f-2 - Exercise of warrants or rights received on portfolio securities
- Section 270.10f-3 - Exemption for the acquisition of securities during the existence of an underwriting or selling syndicate
- Section 270.11a-1 - Definition of "exchange" for purposes of section 11 of the Act
- Section 270.11a-2 - Offers of exchange by certain registered separate accounts or others the terms of which do not require prior Commission approval
- Section 270.11a-3 - Offers of exchange by open-end investment companies other than separate accounts
- Section 270.12b-1 - Distribution of shares by registered open-end management investment company
- Section 270.12d1-1 - Exemptions for investments in money market funds
- Section 270.12d1-2 - Reserved
- Section 270.12d1-3 - Exemptions for investment companies relying on section 12(d)(1)(F) of the Act
- Section 270.12d1-4 - Exemptions for investments in certain investment companies
- Section 270.12d2-1 - Definition of insurance company for purposes of sections 12(d)(2) and 12(g) of the Act
- Section 270.12d3-1 - Exemption of acquisitions of securities issued by persons engaged in securities related businesses
- Section 270.13a-1 - Exemption for change of status by temporarily diversified company
- Section 270.14a-1 - Use of notification pursuant to regulation E under the Securities Act of 1933
- Section 270.14a-2 - Exemption from section 14(a) of the Act for certain registered separate accounts and their principal underwriters
- Section 270.14a-3 - Exemption from section 14(a) of the Act for certain registered unit investment trusts and their principal underwriters
- Section 270.15a-1 - Exemption from stockholders' approval of certain small investment advisory contracts
- Section 270.15a-2 - Annual continuance of contracts
- Section 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
- Section 270.15a-4 - Temporary exemption for certain investment advisers
- Section 270.16a-1 - Exemption for initial period of directors of certain registered accounts from requirements of election by security holders
- Section 270.17a-1 - Exemption of certain underwriting transactions exempted by Section 270.10f-1
- Section 270.17a-2 - Exemption of certain purchase, sale, or borrowing transactions
- Section 270.17a-3 - Exemption of transactions with fully owned subsidiaries
- Section 270.17a-4 - Exemption of transactions pursuant to certain contracts
- Section 270.17a-5 - Pro rata distribution neither "sale" nor "purchase."
- Section 270.17a-6 - Exemption for transactions with portfolio affiliates
- Section 270.17a-7 - Exemption of certain purchase or sale transactions between an investment company and certain affiliated persons thereof
- Section 270.17a-8 - Mergers of affiliated companies
- Section 270.17a-9 - Purchase of certain securities from a money market fund by an affiliate, or an affiliate of an affiliate
- Section 270.17a-10 - Exemption for transactions with certain subadvisory affiliates
- Section 270.17d-1 - Applications regarding joint enterprises or arrangements and certain profit-sharing plans
- Section 270.17d-2 - Form for report by small business investment company and affiliated bank
- Section 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
- Section 270.17e-1 - Brokerage transactions on a securities exchange
- Section 270.17f-1 - Custody of securities with members of national securities exchanges
- Section 270.17f-2 - Custody of investments by registered management investment company
- Section 270.17f-3 - Free cash accounts for investment companies with bank custodians
- Section 270.17f-4 - Custody of investment company assets with a securities depository
- Section 270.17f-5 - Custody of investment company assets outside the United States
- Section 270.17f-6 - Custody of investment company assets with Futures Commission Merchants and Commodity Clearing Organizations
- Section 270.17f-7 - Custody of investment company assets with a foreign securities depository
- Section 270.17g-1 - Bonding of officers and employees of registered management investment companies
- Section 270.17j-1 - Personal investment activities of investment company personnel
- Section 270.18c-1 - Exemption of privately held indebtedness
- Section 270.18c-2 - Exemptions of certain debentures issued by small business investment companies
- Section 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
- Section 270.18f-2 - Fair and equitable treatment for holders of each class or series of stock of series investment companies
- Section 270.18f-3 - Multiple class companies
- Section 270.18f-4 - Exemption from the requirements of section 18 and section 61 for certain senior securities transactions
- Section 270.19a-1 - Written statement to accompany dividend payments by management companies
- Section 270.19b-1 - Frequency of distribution of capital gains
- Section 270.20a-1 - Solicitation of proxies, consents and authorizations
- Section 270.20a-2 - 270.20a-4 - Reserved
- Section 270.22c-1 - Pricing of redeemable securities for distribution, redemption and repurchase
- Section 270.22c-2 - Redemption fees for redeemable securities
- Section 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
- Section 270.22d-2 - Exemption from section 22(d) for certain registered separate accounts
- Section 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
- Section 270.22e-2 - Pricing of redemption requests in accordance with Rule 22c-1
- Section 270.22e-3 - Exemption for liquidation of money market funds
- Section 270.22e-4 - Liquidity risk management programs
- Section 270.23c-1 - Repurchase of securities by closed-end companies
- Section 270.23c-2 - Call and redemption of securities issued by registered closed-end companies
- Section 270.23c-3 - Repurchase offers by closed-end companies
- Section 270.24b-1 - Definitions
- Section 270.24b-2 - Filing copies of sales literature
- Section 270.24b-3 - Sales literature deemed filed
- Section 270.24b-4 - Filing copies of covered investment fund research reports
- Section 270.24e-1 - Filing of certain prospectuses as post-effective amendments to registration statements under the Securities Act of 1933
- Section 270.24f-2 - Registration under the Securities Act of 1933 of certain investment company securities
- Section 270.26a-1 - Payment of administrative fees to the depositor or principal underwriter of a unit investment trust; exemptive relief for separate accounts
- Section 270.27c-1 - Reserved
- Section 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
- Section 270.27d-2 - Reserved
- Section 270.27e-1 - Reserved
- Section 270.27f-1 - Reserved
- Section 270.27g-1 - Reserved
- Section 270.27h-1 - Reserved
- Section 270.27i-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
- Section 270.28b-1 - Investment in loans partially or wholly guaranteed under the Servicemen's Readjustment Act of 1944, as amended
- Section 270.30a-1 - Annual report for registered investment companies
- Section 270.30a-2 - Certification of Form N-CSR
- Section 270.30a-3 - Controls and procedures
- Section 270.30a-4 - Annual report for wholly-owned registered management investment company subsidiary of registered management investment company
- Section 270.30b1-1 - 270.b1-3 - Reserved
- Section 270.30b1-4 - Report of proxy voting record
- Section 270.30b1-5 - Reserved
- Section 270.30b1-7 - Monthly report for money market funds
- Section 270.30b1-8 - Current report for money market funds
- Section 270.30b1-9(T) - Temporary rule regarding monthly report
- Section 270.30b1-9 - [Effective 5/18/2026] Monthly report
- Section 270.30b1-9 - [Effective until 11/17/2025] Monthly report
- Section 270.30b1-9 - [Effective 11/17/2025] [Effective until 5/18/2026] Monthly report
- Section 270.30b1-10 - Current report for open-end and closed-end management investment companies
- Section 270.30b2-1 - Filing of reports to stockholders
- Section 270.30d-1 - Filing of copies of reports to shareholders
- Section 270.30e-1 - Reports to stockholders of management companies
- Section 270.30e-2 - Reports to shareholders of unit investment trusts
- Section 270.30e-3 - Internet availability of reports to shareholders
- Section 270.30h-1 - Applicability of section 16 of the Exchange Act to section 30(h)
- Section 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
- Section 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
- Section 270.31a-3 - Records prepared or maintained by other than person required to maintain and preserve them
- Section 270.31a-4 - Records to be maintained and preserved by registered investment companies relating to fair value determinations
- Section 270.32a-1 - Exemption of certain companies from affiliation provisions of section 32(a)
- Section 270.32a-2 - Exemption for initial period from vote of security holders on independent public accountant for certain registered separate accounts
- Section 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
- Section 270.32a-4 - Independent audit committees
- Section 270.34b-1 - Sales literature deemed to be misleading
- Section 270.35d-1 - Investment company names
- Section 270.38a-1 - Compliance procedures and practices of certain investment companies
- Section 270.45a-1 - Confidential treatment of names and addresses of dealers of registered investment company securities
- Section 270.55a-1 - Investment activities of business development companies
- Section 270.57b-1 - Exemption for downstream affiliates of business development companies
- Section 270.60a-1 - Exemption for certain business development companies