17 CFR 275.202 - Certain transactions not deemed assignments.

Regulations last checked for updates: Oct 17, 2024

Title 17 - Commodity and Securities Exchanges last revised: Oct 08, 2024

View all text of Part 275 [§ 275.0-2 - § 275.222-2]

§ 275.202(a)(1)-1 - Certain transactions not deemed assignments.

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]

authority: 15 U.S.C. 80b-2(a)(11)(G), 80b-2(a)(11)(H), 80b-2(a)(17), 80b-3, 80b-4, 80b-4a, 80b-6(4), 80b-6a, 80b-11, 1681w(a)(1), 6801-6809, and 6825, unless otherwise noted

cite as: 17 CFR 275.202