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Electronic Code of Federal Regulations

e-CFR data is current as of April 6, 2020

Title 17Chapter IIPart 275 → §275.202(a)(1)-1


Title 17: Commodity and Securities Exchanges
PART 275—RULES AND REGULATIONS, INVESTMENT ADVISERS ACT OF 1940


§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]

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