S.D. Admin. R. 20:08:03:13

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

Section 20:08:03:13 - Notice of thefts required

Each broker-dealer shall give immediate notice to the director of the theft or mysterious disappearance of any securities or funds from any of its offices in this state, stating all material facts known concerning the theft or disappearance.

S.D. Admin. R. 20:08:03:13

27 SDR 5, effective 7/21/2000; 30 SDR 211, effective 7/1/2004.

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

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