17 CFR 275.202(a)(1)-1
§ 275.202(a)(1)-1 Certain transactions not deemed assignments.
United States · 17 CFR — Commodity and Securities Exchanges · Status: effective
Cite this
- Citation
- 17 CFR 275.202(a)(1)-1, § 275.202(a)(1)-1 Certain transactions not deemed assignments, United States, version 1 as recorded 2026-07-09, yourstate.us, https://yourstate.us/provision/70148
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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.
Legislative history
This is a federal regulation, adopted through agency rulemaking under the Administrative Procedure Act — not enacted by a recorded vote of Congress.