Kentucky Administrative Regulations
Title 808 - PUBLIC PROTECTION CABINET - DEPARTMENT OF FINANCIAL INSTITUTIONS
Chapter 10 - Securities
Section 808 KAR 10:120 - Registration files
Universal Citation: 808 KY Admin Regs Service 10:120
Current through Register Vol. 50, No. 9, March 1, 2024
RELATES TO: KRS Chapter 292
NECESSITY, FUNCTION, AND CONFORMITY: To require that broker-dealer registration files are kept current.
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.
STATUTORY AUTHORITY: KRS 292.500(3)
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