17 C.F.R. § 275.202(a)(1)-1

Certain transactions not deemed assignments.

Last amended: 2016Year: 2026Length: 42 wordsOfficial source

Cite as 17 C.F.R. § 275.202(a)(1)-1 (2026)

A transaction which does not result in a change of actual control or management of an investment adviser is not an assignment for purposes of section 205(a)(2) of the Act. [51 FR 32907, Sept. 17, 1986; 64 FR 2567, Jan. 15, 1999]
17 C.F.R. § 275.202(a)(1)-1: Certain transactions not deemed assignments. | Justis AI