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 Securities Lawyer's Deskbook
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Rules and Regulations
promulgated
under the
Investment Advisers Act of 1940





Rule 222-2 -- Definition of "client" for Purposes of the National de Minimis Standard


For purposes of section 222(d)(2) of the Act, an investment adviser may rely upon the definition of "client" provided by Rule 203(b)(3)-1 without giving regard to paragraph (b)(6) of that section.


Regulatory History


62 FR 28112, 28136, May 22, 1997, 69 FR 72054, 72089, Dec. 10, 2004.



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