GroundRules
17 CFR 275.202(a)(1)-1: (a)(1)-1 Certain transactions not deemed assignments.
Where this section sits in the code
- Title 17—Commodity and Securities Exchanges
- CHAPTER II—SECURITIES AND EXCHANGE COMMISSION
- PART 275—RULES AND REGULATIONS, INVESTMENT ADVISERS ACT OF 1940
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.
Collected 2026-08-27T02:24:31Z. Source file · JSON