CFR > Title 17 - Commodity and Securities Exchanges > CHAPTER II—SECURITIES AND EXCHANGE COMMISSION > PART 275—RULES AND REGULATIONS, INVESTMENT ADVISERS ACT OF 1940 > 275.202(a)(1)-1—Certain transactions not deemed assignments.

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.

Code of Federal Regulations

[51 FR 32907, Sept. 17, 1986; 64 FR 2567, Jan. 15, 1999]