LAWS & RULES

- 201. Findings
- 202. Definitions
- 203. Registration of Investment
      - Advisers

- 203A. State and Federal
- 204. Annual and Other Reports
- 204A. Prevention of Misuse of
      - Nonpublic Information

- 205. Investment Advisory
      - Contracts

- 206. Prohibited Transactions by
      - Investment Advisers

- 206A. Exemptions
- 207. Material Misstatements
- 208. General Prohibitions
- 209. Enforcement of Title
- 210. Publicity
- 211. Rules, Regulations and
      - Orders

- 212. Hearings
- 213. Court Review of Orders
- 214. Jurisdiction of Offenses
      - and Suits

- 215. Validity of Contracts
- 216. Annual Reports of
      - Commission

- 217. Penalties
- 218. Hiring and Leasing Authority
      - of the Commission

- 219. Separability of Provisions
- 220. Short Title
- 221. Effective Date
- 222. State Regulation of
      - Investment Advisers

.

Section 204. Annual and Other Reports

Section 204. Every investment adviser who makes use of the mails or of any means or instrumentality of interstate commerce in connection with his or its business as an investment adviser (other than one specifically exempted from registration pursuant to Section 203(b) of this title), shall make and keep for prescribed periods such records (as defined in Section 3(a)(37) of the Securities Exchange Act of 1934), furnish such copies thereof, and make and disseminate such reports as the Commission, by rule, may prescribe as necessary or appropriate in the public interest or for the protection of investors. All records (as so defined) of such investment advisers are subject at any time, or from time to time, to such reasonable periodic, special, or other examinations by representatives of the Commission, as the Commission deems necessary or appropriate in the public interest for the protection of investors.


COMPLIANCE PROCEDURES  |  ORGANIZATIONAL DOCUMENTS  |  SAMPLE AGREEMENTS
FORMS  |  LAWS & RULES  |  VENDOR LINKS  |  GOVERNMENT LINKS  |  OTHER LINKS
Copyright � 1999 moneymanagerservices.com. All rights reserved.
User Agreement. Privacy Statement.