17 CFR 270.3a-4 - Status of investment advisory programs

Cite as17 CFR 270.3a-4
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22 practice notes
  • Investment advisors: Hedge fund advisors; registration,
    • United States
    • Federal Register December 10, 2004
    • December 10, 2004
    ...Company Act Release No. 22579 (Mar. 24, 1997) [62 FR 15098 (Mar. 31, 1997)] (adopting rule 3a-4 under the Investment Company Act [17 CFR 270.3a-4(a)] to provide a nonexclusive safe harbor from the definition of investment company for certain programs under which investment advisory services......
  • Part IV
    • United States
    • Federal Register December 10, 2004
    • December 10, 2004
    ...Company Act Release No. 22579 (Mar. 24, 1997) [62 FR 15098 (Mar. 31, 1997)] (adopting rule 3a-4 under the Investment Company Act [17 CFR 270.3a-4(a)] to provide a nonexclusive safe harbor from the definition of investment company for certain programs under which investment advisory services......
  • List of Rules to be Reviewed Pursuant to the Regulatory Flexibility Act
    • United States
    • Federal Register January 26, 2009
    • January 26, 2009
    ...to the proposing release and Initial Regulatory Flexibility Analysis were considered at that time. * * * * * Title: Rule 3a-4. Citation: 17 CFR 270.3a-4. Authority: 15 U.S.C. 80a-1 et seq., 80a-6(c), Description: Rule 3a-4 under the Investment Company Act of 1940 (``Act'') provides a nonexc......
  • Proposed Collection; Comment Request
    • United States
    • Securities And Exchange Commission
    • Invalid date
    ...Office of Management and Budget a request for extension of the previously approved collection of information discussed below. Rule 3a-4 (17 CFR 270.3a-4) under the Investment Company Act of 1940 (15 U.S.C. 80a) (``Investment Company Act'' or ``Act'') provides a nonexclusive safe harbor from......
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2 firm's commentaries
  • AI Regulation: What You Need To Know To Stay Ahead Of The Curve
    • United States
    • Mondaq United States
    • June 25, 2021
    ...21, 2018); Hedgeable Inc., Investment Advisers Act Release No. 5087, 2018 WL 6722757 (Dec. 21, 2018). 23.15 USC §§ 80a-1-80a-64. 24.17 CFR § 270.3a-4. 25.Div. of Inv. Mgmt., SEC, Robo-Advisers, IM Guidance Update No. 2017-02, at 2, 26.21 CFR pts. 210-212. 27.15 USC § 45; see, e.g., Everalbu......
  • The Evolution of Advice: Digital Investment Advisers as Fiduciaries
    • United States
    • JD Supra United States
    • October 7, 2016
    ...the benefit of personalized advice and individualized treatment, and maintain all of the indicia of ownership of the ETFs and 68 17 C.F.R. § 270.3a-4(a)(1). 69 Id. at § 70 Cf. Fein, Robo-Advisors: A Closer Look, supra note 3 at 12. 16 www.morganlewis.com other securities held in their accou......

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