Authority: IC 23-19-6-5

Affected: IC 23-19-5-2

Sec. 11. A transaction that does not result in a change of actual control or management of an investment adviser is not an assignment for purposes of section 18 of this rule.

(Securities Division; 710 IAC 4-9-11; filed Jun 28, 2010, 2:36 p.m.: 20100728-IR-710100044FRA; readopted filed May 12, 2016, 1:47 p.m.: 20160608-IR-710160136RFA; readopted filed Nov 30, 2022, 4:01 p.m.: 20221228-IR-710220301RFA)