5 Del. Admin. Code § 704-3.0
Current through Reigster Vol. 28, No. 6, December 1, 2024
Every bank or bank and trust company which owns a subsidiary engaged in the securities business shall provide additional notice to the Commissioner in the event the subsidiary commences any securities activity not disclosed in the notice provided pursuant to section 2.1 of this regulation. Any such notice must be received in the office of the Commissioner within 30 days after the subsidiary commences the new activity.
5 Del. Admin. Code § 704-3.0