IAA Key Sections

• IAA Section 201 (Findings)
• IAA Section 202 (Definitions)
  • IAA Section 202(a)(11) (Definition of "adviser") | Focus Page
  • IAA Rule 202(a)(1) (Assignments) | Focus Page
  • IAA Rule 202(a)(11)(G)-1 (Family offices) | Focus Page
  • IAA Rule 202(a)(30)-1 (Foreign private advisers) | Focus Page
• IAA Section 203(a) and (b) (Registration requirement and exceptions) | Focus Page
• IAA Section 203(c) (Procedure for IA registration) | Focus Page
• IAA Section 203(e) (Censure and denial of registration) | Focus Page
  • IAA Rule 203(l)-1 ("Venture capital fund") | Focus Page
  • IAA Rule 203(m)-1 (Private fund adviser) | Focus Page
  • IAA Rule 203-1 (Application for registration | IAA Rule 203-2 (Withdrawal | IAA Rule 203-3 (Hardship) | Focus Page (Registration process) | Focus Page (Disqualifications and Waivers
  • IAA Section 203A (State and federal responsibilities)| IAA Rule 203A-1 (Eligibility for SEC registration) | IAA Rule 203A-2 (Exemption from prohibitions on SEC registration) | Focus Page (State and Federal Jurisdiction) | Focus Page (Roboadvisers)
• IAA Section 204 (IA Reports) |
  • IAA Rule 204-1 (Amendments to Form ADV) Focus Page
  • IAA Rule 204-2 (Recordkeeping) | Focus Page
  • IAA Rule 204-3 (Delivery of brochure) | Focus Page
  • IAA Rule 204-4 (Reporting by Exempt Advisers) | Focus Page
  • IAA Rule 204-5 (Delivery of form Client Relationship Summary) | Focus Page
  • IAA Rule 204(b)-1 (Reporting by advisers to private funds Form PF) | Focus Page
• IAA Section 204A (Prevention of misuse of nonpublic information)
  • IAA Rule 204A-1 (IA Code of Ethics) | Focus Page (IA Information Wall and Code of Ethics | Focus Page (Personal Account Trading)
• IAA Section 205 (Advisory contracts) | IAA Rule 205-1 Definition of "investment performance) | IAA Rule 205-2 (Definition of "specified period" | IAA Rule 205-3 (Performance compensation | Focus Page
• IAA Section 206 (Prohibited transactions) | Focus Page (Standard of Conduct and Fiduciary Obligation) | Focus Page (Scalping)
  • IAA Rule 206(3)-1 (Provision of research by broker-dealers not required to register as advisers) | Search
  • IAA Rule 206(3)-2 (Cross transactions) | Focus Page
  • IAA Rule 206(4)-1 (Advertisements) | Focus Page
  • IAA Rule 206(4)-2 (Custody) | Focus Page
  • IAA Rule 206(4)-3 (Cash payments for client solicitations) | Focus Page
  • IAA Rule 206(4)-4 (Business Continuity) | Focus Page
  • IAA Rule 206(4)-5 (Political contributions) | Focus Page
  • IAA Rule 206(4)-6 (Proxy voting) | Focus Page
  • IAA Rule 206(4)-7 (Compliance) | Focus Page (IA and RIC General Supervisory Obligations)
  • IAA Rule 206(4)-8 (Fraud as to investors inn pooled investment vehicles) | Focus Page
• IAA Section 206A (SEC exemptive authority) | Focus Page
• IAA Section 207 (Material misstatements to the SEC) | Focus Page
• IAA Section 208 (General prohibitions) | Search
• IAA Section 215 (Validity of contracts) | Focus Page
• IAA Section 222 (State regulation) | Focus Page
• IAA Section 223 (Custody) | Focus Page