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

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§ 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]

Title 17 published on 2015-04-01.

The following are only the Rules published in the Federal Register after the published date of Title 17.

For a complete list of all Rules, Proposed Rules, and Notices view the Rulemaking tab.

  • 2015-07-01; vol. 80 # 126 - Wednesday, July 1, 2015
    1. 80 FR 37538 - Political Contributions by Certain Investment Advisers: Ban on Third-Party Solicitation; Notice of Compliance Date
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      Notice of compliance date.
      The compliance date for the ban on third-party solicitation under 17 CFR 275.206(4)-5 [rule 206(4)-5] is July 31, 2015.
      17 CFR Part 275

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United States Code
U.S. Code: Title 15 - COMMERCE AND TRADE

Title 17 published on 2015-04-01

The following are ALL rules, proposed rules, and notices (chronologically) published in the Federal Register relating to 17 CFR Part 275 after this date.

  • 2015-07-02; vol. 80 # 127 - Thursday, July 2, 2015
    1. 80 FR 38051 - Amendments to Form ADV and Investment Advisers Act Rules
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      17 CFR Parts 275 and 279