808 KAR 10:120. Registration files
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Kentucky Administrative Regulations › Title 808 (Public Protection Cabinet - Department of Financial Institutions) › Chapter 010 › 808 KAR 10:120
Text
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 party. (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.
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