17 CFR § 275.202(a)(1)-1Chapter II
§ 275.202(a)(1)-1 Certain transactions not deemed assignments.
Primary source
Verbatim text below is from the Electronic Code of Federal Regulations (eCFR), a public-domain U.S. government work. Always verify the current version with the eCFR before relying on it for any legal matter.
Full Text
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]
eCFR data current as of: June 10, 2026
This is legal information, not legal advice. Laws vary by jurisdiction and change frequently. Always verify current law with official sources and consult a licensed attorney in your jurisdiction for advice on your specific situation.