17 CFR · Commodity and Securities Exchanges
§ 275.202(a)(1)-1 — Certain transactions not deemed assignments.
17 CFR § 275.202(a)(1)-1
TitleTitle 17: Commodity and Securities ExchangesPartPart 275: Rules and Regulations, Investment Advisers Act of 1940
SourceeCFR (current through Apr 6, 2026)
This text of 17 C.F.R. § 275.202(a)(1)-1 (Certain transactions not deemed assignments.) is published on Counsel Stack Legal Research, covering United States primary law. Counsel Stack provides free access to over 12 million legal documents including statutes, case law, regulations, and constitutions.
Bluebook
17 C.F.R. § 275.202(a)(1)-1 (2026).
Text
§ 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]
Free access — add to your briefcase to read the full text and ask questions with AI
Related
§ 275.202
17 C.F.R. § 275.202
Nearby Sections
11
§ 275.0-3
References to rules and regulations.§ 275.0-7
Small entities under the Investment Advisers Act for purposes of the Regulatory Flexibility Act.§ 275.202(a)(1)-1
Certain transactions not deemed assignments.§ 275.202(a)(11)(G)-1
Family offices.§ 275.202(a)(30)-1
Foreign private advisers.§ 275.203-3
Hardship exemptions.Cite This Page — Counsel Stack
Bluebook (online)
17 C.F.R. § 275.202(a)(1)-1, Counsel Stack Legal Research, https://law.counselstack.com/cfr/17/275/275.202(a)(1)-1.