Securities Lawyer's Deskbook
                         published by The University of Cincinnati College of Law
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Rules and Regulations
promulgated
under the
Investment Company Act of 1940





Index


    Rule 0-1 -- Definition of Terms Used in this Part

    Rule 0-2 -- General Requirements of Papers and Applications

    Rule 0-3 -- Amendments to Registration Statements and Reports

    Rule 0-4 -- Incorporation by Reference

    Rule 0-5 -- Procedure with Respect to Applications and Other Matters

    Rule 0-8 -- Payment of Fees

    Rule 0-9 -- [Reserved]

    Rule 0-10 -- Small Entities for Purposes of the Regulatory Flexibility Act

    Rule 0-11 -- Customer Identification Programs

    Rule 2a-1 -- Valuation of Portfolio Securities in Special Cases

    Rule 2a-2 -- Effect of Eliminations Upon Valuation of Portfolio Securities

    Rule 2a3-1 -- Investment Company Limited Partners Not Deemed Affiliated Persons

    Rule 2a-4 -- Definition of "Current Net Asset Value" for Use in Computing Periodically the Current Price of Redeemable Security

    Rule 2a-6 -- Certain Transactions Not Deemed Assignments

    Rule 2a-7 -- Money Market Funds

    Rule 2a-46 -- Certain Issuers as Eligible Portfolio Companies

    Rule 2a19-1 -- [Reserved]

    Rule 2a19-2 -- Investment Company General Partners Not Deemed Interested Persons

    Rule 2a19-3 -- Certain Investment Company Directors Not Considered Interested Persons Because of Ownership of Index Fund Securities

    Rule 2a41-1 -- Valuation of Standby Commitments by Registered Investment Companies

    Rule 2a51-1 -- Definition of Investments for Purposes of Section 2(a)(51) (Definition of "Qualified Purchaser"); Certain Calculations

    Rule 2a51-2 -- Definitions of Beneficial Owner for Certain Purposes Under Sections 2(a)(51) and 3(c)(7) and Determining Indirect Ownership Interests

    Rule 2a51-3 -- Certain Companies as Qualified Purchasers

    Rule 3a-1 -- Certain Prima Facie Investment Companies

    Rule 3a-2 -- Transient Investment Companies

    Rule 3a-3 -- Certain Investment Companies Owned by Companies Which Are Not Investment Companies

    Rule 3a-4 -- Status of Investment Advisory Programs

    Rule 3a-5 -- Exemption for Subsidiaries Organized to Finance the Operations of Domestic or Foreign Companies

    Rule 3a-6 -- Foreign Banks and Foreign Insurance Companies

    Rule 3a-7 -- Issuers of Asset-Backed Securities

    Rule 3a-8 -- Certain Research and Development Companies

    Rule 3c-1 -- Definition of Beneficial Ownership for Certain Section 3(c)(1) Funds

    Rule 3c-2 -- Definition of Beneficial Ownership in Small Business Investment Companies

    Rule 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

    Rule 3c-4 -- Definition of "Common Trust Fund" as Used in Section 3(c)(3) of the Act

    Rule 3c-5 -- Beneficial Ownership by Knowledgeable Employees and Certain Other Persons

    Rule 3c-6 -- Certain Transfers of Interests in Section 3(c)(1) and Section 3(c)(7) Funds

    Rule 5b-1 -- Definition of "Total Assets"

    Rule 5b-2 -- Exclusion of Certain Guarantees as Securities of the Guarantor

    Rule 5b-3 -- Acquisition of Repurchase Agreement or Refunded Security Treated as Acquisition of Underlying Securities

    Rule 6b-1 -- Exemption of Employees' Securities Company Pending Determination of Application

    Rule 6c-3 -- Exemptions for Certain Registered Variable Life Insurance Separate Accounts

    Rule 6c-6 -- Exemption for Certain Registered Separate Accounts and Other Persons

    Rule 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

    Rule 6c-8 -- Exemptions for Registered Separate Accounts to Impose a Deferred Sales Load and to Deduct Certain Administrative Charges

    Rule 6c-10 -- Exemption for Certain Open-End Management Investment Companies to Impose Deferred Sales Loads

    Rule 6d-1 -- Exemption for Certain Closed-End Investment Companies

    Rule 6e-2 -- Exemptions for Certain Variable Life Insurance Separate Accounts

    Rule 6e-3(T) -- Temporary Exemptions for Flexible Premium Variable Life Insurance Separate Accounts

    Rule 7d-1 -- Specification of Conditions and Arrangements for Canadian Management Investment Companies Requesting Order Permitting Registration

    Rule 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

    Rule 8b-1 -- Scope of Rule 8b-1 to Rule 8b-32

    Rule 8b-2 -- Definitions

    Rule 8b-3 -- Title of Securities

    Rule 8b-4 -- Interpretation of Requirements

    Rule 8b-5 -- Time of Filing Original Registration Statement

    Rule 8b-6 -- [Reserved]

    Rule 8b-10 -- Requirements as to Proper Form

    Rule 8b-11 -- Number of Copies; Signatures; Binding

    Rule 8b-12 -- Requirements as to Paper, Printing and Language

    Rule 8b-13 -- Preparation of Registration Statement or Report

    Rule 8b-14 -- Riders; inserts

    Rule 8b-15 -- Amendments

    Rule 8b-16 -- Amendments to Registration Statement

    Rule 8b-20 -- Additional Information

    Rule 8b-21 -- Information Unknown or Not Available

    Rule 8b-22 -- Disclaimer of Control

    Rule 8b-23 -- Incorporation by Reference

    Rule 8b-24 -- Summaries or Outlines of Documents

    Rule 8b-25 -- Extension of Time for Furnishing Information

    Rule 8b-30 -- Additional Exhibits

    Rule 8b-31 -- Omission of Substantially Identical Documents

    Rule 8b-32 -- Incorporation of Exhibits by Reference

    Rule 8b-33 -- XBRL-Related Documents

    Rule 8f-1 -- Form for Application by Certain Registered Investment Companies for Orders Declaring that Such Compaines Have Ceased to Be Investment Companies as Defined by the Act

    Rule 10b-1 -- Definition of Regular Broker or Dealer

    Rule 10e-1 -- Death, Disqualification, or Bona Fide Resignation of Directors

    Rule 10f-1 -- Conditional Exemption of Certain Underwriting Transactions

    Rule 10f-2 -- Exercise of Warrants or Rights Received on Portfolio Securities

    Rule 10f-3 -- Exemption for the Acquisition of Securities During the Existence of an Underwriting or Selling Syndicate

    Rule 11a-1 -- Definition of "Exchange" for Purposes of Section 11 of the Act

    Rule 11a-2 -- Offers of Exchange by Certain Registered Separate Accounts or Others the Terms of Which do Not Require Prior Commission Approval

    Rule 11a-3 -- Offers of Exchange by Open-End Investment Companies Other Than Separate Accounts

    Rule 12b-1 -- Distribution of Shares by Registered Open-End Management Investment Company

    Rule 12d1-1 -- Exemptions for Investments in Money Market Funds

    Rule 12d1-2 -- Exemptions for Investment Companies Relying on Section 12(d)(1)(G) of the Act

    Rule 12d1-3 -- Exemptions for Investment Companies Relying on Section 12(d)(1)(F) of the Act

    Rule 12d2-1 -- Definition of Insurance Company for Purposes of Sections 12(d)(2) and 12(g) of the Act

    Rule 12d3-1 -- Exemption of Acquisitions of Securities Issued by Persons Engaged in Securities Related Businesses

    Rule 13a-1 -- Exemption for Change of Status by Temporarily Diversified Company

    Rule 14a-1 -- Use of Notification Pursuant to Regulation E Under the Securities Act of 1933

    Rule 14a-2 -- Exemption from Section 14(a) of the Act for Certain Registered Separate Accounts and Their Principal Underwriters

    Rule 14a-3 -- Exemption from Section 14(a) of the Act for Certain Registered Unit Investment Trusts and Their Principal Underwriters

    Rule 15a-1 -- Exemption from Stockholders' Approval of Certain Small Investment Advisory Contracts

    Rule 15a-2 -- Annual Continuance of Contracts

    Rule 15a-3 -- Exemption for Initial Period of Investment Adviser of Certain Registered Separate Accounts from Requirement of Security Holder Approval of Investment Advisory Contract

    Rule 15a-4 -- Temporary Exemption for Certain Investment Advisers

    Rule 16a-1 -- Exemption for Initial Period of Directors of Certain Registered Accounts from Requirements of Election by Security Holders

    Rule 17a-1 -- Exemption of Certain Underwriting Transactions Exempted by Rule 10f-1

    Rule 17a-2 -- Exemption of Certain Purchase, Sale, or Borrowing Transactions

    Rule 17a-3 -- Exemption of Transactions with Fully Owned Subsidiaries

    Rule 17a-4 -- Exemption of Transactions Pursuant to Certain Contracts

    Rule 17a-5 -- Pro Rata Distribution Neither "Sale" nor "Purchase."

    Rule 17a-6 -- Exemption for Transactions with Portfolio Affiliates

    Rule 17a-7 -- Exemption of Certain Purchase or Sale Transactions Between an Investment Company and Certain Affiliated Persons Thereof

    Rule 17a-8 -- Mergers of Affiliated Companies

    Rule 17a-9 -- Purchase of Certain Securities From a Money Market Fund by an Affiliate, or an Affiliate of an Affiliate

    Rule 17a-10 -- Exemption for Transactions with Certain Subadvisory Affiliates

    Rule 17d-1 -- Applications Regarding Joint Enterprises or Arrangements and Certain Profit-Sharing Plans

    Rule 17d-2 -- Form for Report by Small Business Investment Company and Affiliated Bank

    Rule 17d-3 -- Exemption Relating to Certain Joint Enterprises or Arrangements Concerning Payment for Distribution of Shares of a Registered Open-End Management Investment Company

    Rule 17e-1 -- Brokerage Transactions on a Securities Exchange

    Rule 17f-1 -- Custody of Securities with Members of National Securities Exchanges

    Rule 17f-2 -- Custody of Investments by Registered Management Investment Company

    Rule 17f-3 -- Free Cash Accounts for Investment Companies with Bank Custodians

    Rule 17f-4 -- Custody of Investment Company Assets with a Securities Depository

    Rule 17f-5 -- Custody of Investment Company Assets Outside the United States

    Rule 17f-6 -- Custody of Investment Company Assets with Futures Commission Merchants and Commodity Clearing Organizations

    Rule 17f-7 -- Custody of Investment Company Assets with a Foreign Securities Depository

    Rule 17g-1 -- Bonding of Officers and Employees of Registered Management Investment Companies

    Rule 17j-1 -- Personal Investment Activities of Investment Company Personnel

    Rule 18c-1 -- Exemption of Privately Held Indebtedness

    Rule 18c-2 -- Exemptions of Certain Debentures Issued by Small Business Investment Companies

    Rule 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

    Rule 18f-2 -- Fair and Equitable Treatment for Holders of Each Class or Series of Stock of Series Investment Companies

    Rule 18f-3 -- Multiple Class Companies

    Rule 19a-1 -- Written Statement to Accompany Dividend Payments by Management Companies

    Rule 19b-1 -- Frequency of Distribution of Capital Gains

    Rule 20a-1 -- Solicitation of Proxies, Consents and Authorizations

    Rule 20a-2 -- Through Rule 20a-4 [Reserved]

    Rule 22c-1 -- Pricing of Redeemable Securities for Distribution, Redemption and Repurchase

    Rule 22c-2 --Redemption Fees for Redeemable Securities

    Rule 22d-1 -- Exemption from Section 22(d) to Permit Sales of Redeemable Securities at Prices Which Reflect Sales Loads Set Pursuant to a Schedule

    Rule 22d-2 -- Exemption from Section 22(d) for Certain Registered Separate Accounts

    Rule 22e-1 -- Exemption from Section 22(e) of the Act During Annuity Payment Period of Variable Annuity Contracts Participating in Certain Registered Separate Accounts

    Rule 22e-2 -- Pricing of Redemption Requests in Accordance with Rule 22c-1

    Rule 22e-3 -- Exemptions for Liquidation of Money Market Funds

    Rule 23c-1 -- Repurchase of Securities by Closed-End Companies

    Rule 23c-2 -- Call and Redemption of Securities Issued by Registered Closed-End Companies

    Rule 23c-3 -- Repurchase Offers by Closed-End Companies

    Rule 24b-1 -- Definitions

    Rule 24b-2 -- Filing Copies of Sales Literature

    Rule 24b-3 -- Sales Literature Deemed Filed

    Rule 24e-1 -- Filing of Certain Prospectuses as Post-Effective Amendments to Registration Statements Under the Securities Act of 1933

    Rule 24f-2 -- Registration Under the Securities Act of 1933 of Certain Investment Company Securities

    Rule 26a-1 -- Payment of Administrative Fees to the Depositor or Principal Underwriter of a Unit Investment Trust; Exemptive Relief for Separate Accounts

    Rule 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

    Rule 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

    Rule 27a-2 -- Exemption from Section 27(a)(3) and Section 27(h)(3) of the Act for Certain Registered Separate Accounts

    Rule 27a-3 -- Exemption from Section 27(a)(4) and Section 27(h)(5) of the Act for Certain Registered Separate Accounts

    Rule 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

    Rule 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

    Rule 27d-2 -- Insurance Company Undertaking in Lieu of Segregated Trust Account

    Rule 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

    Rule 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

    Rule 27g-1 -- Election to Be Governed by Section 27(h)

    Rule 27h-1 -- Exemptions from Section 27(h)(4) for Certain Payments

    Rule 28b-1 -- Investment in Loans Partially or Wholly Guaranteed Under the Servicemen's Readjustment Act of 1944, as Amended

    Rule 30a-1 -- Annual Reports for Unit Investment Trusts

    Rule 30a-2 -- Certification of Form N-CSR and Form N-Q

    Rule 30a-3 -- Disclosure Controls and Procedures Related to Preparation of Required Filings

    Rule 30b1-1 -- Semi-Annual Report for Registered Management Investment Companies

    Rule 30b1-2 -- Semi-Annual Report for Totally-Owned Registered Management Investment Company Subsidiary of Registered Management Investment Company

    Rule 30b1-3 -- Transition Reports

    Rule 30b1-4 -- Report of Proxy Voting Record

    Rule 30b1-5 -- Quarterly Report

    Rule 30b1-6T -- Weekly Portfolio Report for Certain Money Market Funds. [Effective Sept. 18, 2009, through Dec. 1 2010.]

    Rule 30b1-7 -- Monthly Report for Money Market Funds

    Rule 30b2-1 -- Filing of Reports to Stockholders

    Rule 30d-1 -- Filing of Copies of Reports to Shareholders

    Rule 30e-1 -- Reports to Stockholders of Management Companies

    Rule 30e-2 -- Reports to Shareholders of Unit Investment Trusts

    Rule 30h-1 -- Applicability of Section 16 of the Exchange Act to Section 30(h)

    Rule 31a-1 -- Records to Be Maintained by Registered Investment Companies, Certain Majority-Owned Subsidiaries Thereof, and Other Persons Having Transactions with Registered Investment Companies

    Rule 31a-2 -- Records to Be Preserved by Registered Investment Companies, Certain Majority-Owned Subsidiaries Thereof, and Other Persons Having Transactions with Registered Investment Companies

    Rule 31a-3 -- Records Prepared or Maintained by Other than Person Required to Maintain and Preserve Them

    Rule 32a-1 -- Exemption of Certain Companies from Affiliation Provisions of Section 32(a)

    Rule 32a-2 -- Exemption for Initial Period from Vote of Security Holders on Independent Public Accountant for Certain Registered Separate Accounts

    Rule 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

    Rule 32a-4 -- Independent Audit Committees

    Rule 34b-1 -- Sales Literature Deemed to Be Misleading

    Rule 35d-1 -- Investment Company Names

    Rule 38a-1 -- Compliance Procedures and Practices of Certain Investment Companies

    Rule 45a-1 -- Confidential Treatment of Names and Addresses of Dealers of Registered Investment Company Securities

    Rule 55a-1 -- Investment Activities of Business Development Companies

    Rule 57b-1 -- Exemption for Downstream Affiliates of Business Development Companies

    Rule 60a-1 -- Exemption for Certain Business Development Companies



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