17 C.F.R. § 275.202(a)(1)-1

Current through November 30, 2024

Section 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.

17 C.F.R. §275.202(a)(1)-1

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