Frix

§ 275.202(a)(1)-1 Certain transactions not deemed assignments.

FederalRegulations

Ask Donna

How this section applies to your facts.

Title 17 CFR: 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: § 275.202(a)(1)-1 Certain transactions not deemed assignments.

This text was captured on Aug 14, 2026. It is a snapshot, not a live feed, so check the official code before relying on it.

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]

This is a copy of a public record, reproduced as it was published. It is not legal advice, and it may not be the version a court would rely on. Check the official source before you cite it.

A word about cookies

We need a few to keep you signed in and the library working. The rest help us see which pages people use and where they get stuck. They stay off unless you say yes.