# 17 C.F.R. § 275.0-5 (2026): Procedure with respect to applications and other matters

> Federal · Regulations · In force

URL: https://www.frixlaw.com/law-library/statutes/CFR_T17_P275_S275_0_5

## Section

- **Citation:** 17 C.F.R. § 275.0-5 (2026)
- **Heading:** Procedure with respect to applications and other matters
- **Jurisdiction:** Federal
- **Kind:** Regulations
- **Status:** In force
- **Text as of:** August 14, 2026
- **Source:** Compiled text
- **Location:** Title 17 CFR: Commodity and Securities Exchanges / Chapter II: SECURITIES AND EXCHANGE COMMISSION / Part 275: RULES AND REGULATIONS, INVESTMENT ADVISERS ACT OF 1940 / § 275.0-5: § 275.0-5   Procedure with respect to applications and other matters.

## Text

The procedure hereinbelow set forth will be followed with respect to any proceeding initiated by the filing of an application, or upon the Commission's own motion, pursuant to any section of the Act or any rule or regulation thereunder, unless in the particular case a different procedure is provided:
(a) Notice of the initiation of the proceeding will be published in the
Federal Register
and will indicate the earliest date upon which an order disposing of the matter may be entered. The notice will also provide that any interested person may, within the period of time specified therein, submit to the Commission in writing any facts bearing upon the desirability of a hearing on the matter and may request that a hearing be held, stating his reasons therefor and the nature of his interest in the matter.
(b) An order disposing of the matter will be issued as of course following the expiration of the period of time referred to in paragraph (a) of this section, unless the Commission thereafter orders a hearing on the matter.
(c) The Commission will order a hearing on the matter, if it appears that a hearing is necessary or appropriate in the public interest or for the protection of investors, (1) upon the request of any interested person or (2) upon its own motion.
(d)
Definition of application.
For purposes of this rule, an “application” means any application for an order of the Commission under the Act other than an application for registration as an investment adviser.
[41 FR 39020, Sept. 14, 1976, as amended at 61 FR 49962, Sept. 24, 1996]

## Nearby sections

- [17 C.F.R. § 275.0-2 (2026) § 275.0-2   General procedures for serving non-residents.](https://www.frixlaw.com/law-library/statutes/CFR_T17_P275_S275_0_2.md)
- [17 C.F.R. § 275.0-3 (2026) § 275.0-3   References to rules and regulations.](https://www.frixlaw.com/law-library/statutes/CFR_T17_P275_S275_0_3.md)
- [17 C.F.R. § 275.0-4 (2026) § 275.0-4   General requirements of papers and applications.](https://www.frixlaw.com/law-library/statutes/CFR_T17_P275_S275_0_4.md)
- [17 C.F.R. § 275.0-5 (2026) § 275.0-5   Procedure with respect to applications and other matters.](https://www.frixlaw.com/law-library/statutes/CFR_T17_P275_S275_0_5.md)
- [17 C.F.R. § 275.0-6 (2026) § 275.0-6   Incorporation by reference in applications.](https://www.frixlaw.com/law-library/statutes/CFR_T17_P275_S275_0_6.md)
- [17 C.F.R. § 275.0-7 (2026) § 275.0-7   Small entities under the Investment Advisers Act for purposes of the Regulatory Flexibility Act.](https://www.frixlaw.com/law-library/statutes/CFR_T17_P275_S275_0_7.md)
- [17 C.F.R. § 275.202(a)(1)-1 (2026) § 275.202(a)(1)-1   Certain transactions not deemed assignments.](https://www.frixlaw.com/law-library/statutes/CFR_T17_P275_S275_202(a)(1)_1.md)
- [17 C.F.R. § 275.202(a)(11)(G)-1 (2026) § 275.202(a)(11)(G)-1   Family offices.](https://www.frixlaw.com/law-library/statutes/CFR_T17_P275_S275_202(a)(11)(G)_1.md)
- [17 C.F.R. § 275.202(a)(30)-1 (2026) § 275.202(a)(30)-1   Foreign private advisers.](https://www.frixlaw.com/law-library/statutes/CFR_T17_P275_S275_202(a)(30)_1.md)
- [17 C.F.R. § 275.203-1 (2026) § 275.203-1   Application for investment adviser registration.](https://www.frixlaw.com/law-library/statutes/CFR_T17_P275_S275_203_1.md)
- [17 C.F.R. § 275.203-2 (2026) § 275.203-2   Withdrawal from investment adviser registration.](https://www.frixlaw.com/law-library/statutes/CFR_T17_P275_S275_203_2.md)
- [17 C.F.R. § 275.203-3 (2026) § 275.203-3   Hardship exemptions.](https://www.frixlaw.com/law-library/statutes/CFR_T17_P275_S275_203_3.md)
- [17 C.F.R. § 275.203(l)-1 (2026) § 275.203(l)-1   Venture capital fund defined.](https://www.frixlaw.com/law-library/statutes/CFR_T17_P275_S275_203(l)_1.md)
- [17 C.F.R. § 275.203(m)-1 (2026) § 275.203(m)-1   Private fund adviser exemption.](https://www.frixlaw.com/law-library/statutes/CFR_T17_P275_S275_203(m)_1.md)

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Source: Frix Law Library, https://www.frixlaw.com/law-library/statutes/CFR_T17_P275_S275_0_5. Check the current official text before relying on it. Not legal advice.