# 17 C.F.R. § 275.202(a)(1)-1 (2026): (a)(1)-1 Certain transactions not deemed assignments

> Federal · Regulations · In force

URL: https://www.frixlaw.com/law-library/statutes/CFR_T17_P275_S275_202(a)(1)_1

## Section

- **Citation:** 17 C.F.R. § 275.202(a)(1)-1 (2026)
- **Heading:** (a)(1)-1 Certain transactions not deemed assignments
- **Jurisdiction:** Federal
- **Kind:** Regulations
- **Status:** In force
- **Text as of:** August 14, 2026
- **Source:** Compiled text
- **Location:** 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.

## 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]

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- [17 C.F.R. § 275.0-7 (2026) § 275.0-7   Small entities under the Investment Advisers Act for purposes of the Regulatory Flexibility Act.](https://www.frixlaw.com/law-library/statutes/CFR_T17_P275_S275_0_7.md)
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Source: Frix Law Library, https://www.frixlaw.com/law-library/statutes/CFR_T17_P275_S275_202(a)(1)_1. Check the current official text before relying on it. Not legal advice.