Code of Maryland Regulations (Last Updated: April 6, 2021) |
Title 02. Office of the Attorney General |
Subtitle 02. DIVISION OF SECURITIES |
Chapter 02.02.05. Investment Adviser Regulations |
Sec. 02.02.05.09. Transactions Considered Not to be Assignments
Latest version.
-
For purposes of the Maryland Securities Act, Corporations and Associations Article, §11-302(e)(1)(ii), Annotated Code of Maryland, a transaction that does not result in a change of actual control or management of an investment adviser is not an assignment.