808 Kar 10:120. Registration Files

Link to law: http://www.lrc.ky.gov/kar/808/010/120.htm
Published: 2015

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      808 KAR 10:120.

Registration files.



Chapter 292


AUTHORITY: KRS 292.500(3)


FUNCTION, AND CONFORMITY: To require that broker-dealer registration files are

kept current.


      Section 1. Every

registered broker-dealer and investment adviser shall promptly amend its

registration file upon the happenings of any of the following events:

      (1) Any change

in the registrant's certifying accountant and a detailed statement of the

reasons therefor.

      (2) Any change

in the registrant's net capital position which would result in a violation of

the minimum net capital requirements.

      (3) Any change

in the control of the registrant.

      (4) The

institution of any material legal proceeding to which the registrant is a


      (5) Any change in

the address of the registrant or of any branch offices to the registrant.

      (6) Any material

change on the operations of the registrant. (SR 330(11)(c)-1; 1 Ky.R. 1097;

eff. 6-11-75; Am. 11 Ky.R. 1909; eff. 7-9-85.)