South Dakota Administrative Rules
Title 20 - PUBLIC SAFETY
Article 20:08 - SECURITIES
Chapter 20:08:03 - Broker-dealer and agent rules
Section 20:08:03:10 - Notice of transfer of control or of name change
Universal Citation: SD Admin Rules 20:08:03:10
Current through Register Vol. 50, page 114, March 25, 2024
A broker-dealer shall promptly file with the director a notice of transfer of control or change of name not less than 30 days before the date on which the transfer of control or change of name is to become effective. The director may permit a shorter notice period.
General Authority: SDCL 47-31B-407(d), 47-31B-605(a)(1).
Law Implemented: SDCL 47-31B-407(c), 47-31B-407(d).
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