Title 808 | Chapter 010 | Regulation 120
808 KAR 10:120.Registration files.
Section 1.
Every registered broker-dealer and investment adviser shall promptly amend its registration file upon the happenings of any of the following events:(1)
Any change in the registrant's certifying accountant and a detailed statement of the reasons therefor.(2)
Any change in the registrant's net capital position which would result in a violation of the minimum net capital requirements.(3)
Any change in the control of the registrant.(4)
The institution of any material legal proceeding to which the registrant is a party.(5)
Any change in the address of the registrant or of any branch offices to the registrant.(6)
Any material change on the operations of the registrant.HISTORY: (SR 330(11)(c)-1; 1 Ky.R. 1097; eff. 6-11-75; Am. 11 Ky.R. 1909; eff. 7-9-85; Crt eff. 2-27-2020.)
808 KAR 10:120.Registration files.
Section 1.
Every registered broker-dealer and investment adviser shall promptly amend its registration file upon the happenings of any of the following events:(1)
Any change in the registrant's certifying accountant and a detailed statement of the reasons therefor.(2)
Any change in the registrant's net capital position which would result in a violation of the minimum net capital requirements.(3)
Any change in the control of the registrant.(4)
The institution of any material legal proceeding to which the registrant is a party.(5)
Any change in the address of the registrant or of any branch offices to the registrant.(6)
Any material change on the operations of the registrant.HISTORY: (SR 330(11)(c)-1; 1 Ky.R. 1097; eff. 6-11-75; Am. 11 Ky.R. 1909; eff. 7-9-85; Crt eff. 2-27-2020.)