S.D. Admin. R. 20:08:03:11

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

Section 20:08:03:11 - Notice of net capital deficiency

A broker-dealer shall file with the director an immediate notice whenever the net capital of the broker-dealer is less than is required in § 20:08:03:04.

S.D. Admin. R. 20:08:03:11

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

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

Law Implemented: SDCL 47-31B-411(c).