Md. Code Regs. 02.02.05.09

Current through Register Vol. 51, No. 12, June 14, 2024

Section 02.02.05.09 - Transactions Considered Not to be Assignments

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.

Regulations .09 adopted as an emergency provision effective July 25, 1989 (16:16 Md. R. 1733); emergency status expired December 22, 1989
Regulations .09 adopted as an emergency provision effective December 23, 1989 (17:1 Md. R. 63); adopted permanently effective April 16, 1990 (17:7 Md. R. 845)