§ 20:08:03:10

ARSD 20:08:03:10

Notice of transfer of control or of name change.

Effective Jul 1, 200430 SDR 211Source: 27 SDR 5, effective July 31, 2000; 30 SDR 211, effective July 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).

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.

Source: 27 SDR 5, effective July 31, 2000; 30 SDR 211, effective July 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).