S.D. Admin. R. 20:08:03:10

Current through Register Vol. 51, page 67, December 16, 2024

Section 20:08:03:10 - Notice of transfer of control or of name change

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.

S.D. Admin. R. 20:08:03:10

27 SDR 5, effective 7/31/2000; 30 SDR 211, effective 7/1/2004.

General Authority: SDCL 47-31B-407(d), 47-31B-605(a)(1).

Law Implemented: SDCL 47-31B-407(c), 47-31B-407(d).