# 808 KAR 10:120: 808 KAR 10:120. Registration files

> Kentucky · Regulations · In force

URL: https://www.frixlaw.com/law-library/statutes/STATE_KY_KAR_T808_C010_R120

## Section

- **Citation:** 808 KAR 10:120
- **Heading:** 808 KAR 10:120. Registration files
- **Jurisdiction:** Kentucky
- **Kind:** Regulations
- **Status:** In force
- **Text as of:** August 14, 2026
- **Source:** Compiled text
- **Location:** 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.

## Nearby sections

- [808 KAR 10:010 808 KAR 10:010. Forms for application, registration, notice filing, reporting and compliance](https://www.frixlaw.com/law-library/statutes/STATE_KY_KAR_T808_C010_R010.md)
- [808 KAR 10:020 808 KAR 10:020. Capital, records and reporting requirements of broker-dealers](https://www.frixlaw.com/law-library/statutes/STATE_KY_KAR_T808_C010_R020.md)
- [808 KAR 10:030 808 KAR 10:030. Conduct of broker-dealers, agents, and employees; investment advisers and representatives](https://www.frixlaw.com/law-library/statutes/STATE_KY_KAR_T808_C010_R030.md)
- [808 KAR 10:042 808 KAR 10:042. Use of senior certifications and designations](https://www.frixlaw.com/law-library/statutes/STATE_KY_KAR_T808_C010_R042.md)
- [808 KAR 10:050 808 KAR 10:050. Application withdrawal](https://www.frixlaw.com/law-library/statutes/STATE_KY_KAR_T808_C010_R050.md)
- [808 KAR 10:060 808 KAR 10:060. Abandoned applications](https://www.frixlaw.com/law-library/statutes/STATE_KY_KAR_T808_C010_R060.md)
- [808 KAR 10:090 808 KAR 10:090. Issuer's reports](https://www.frixlaw.com/law-library/statutes/STATE_KY_KAR_T808_C010_R090.md)
- [808 KAR 10:110 808 KAR 10:110. Records of investment advisers](https://www.frixlaw.com/law-library/statutes/STATE_KY_KAR_T808_C010_R110.md)
- [808 KAR 10:120 808 KAR 10:120. Registration files](https://www.frixlaw.com/law-library/statutes/STATE_KY_KAR_T808_C010_R120.md)
- [808 KAR 10:130 808 KAR 10:130. Amendments to registration statement](https://www.frixlaw.com/law-library/statutes/STATE_KY_KAR_T808_C010_R130.md)
- [808 KAR 10:150 808 KAR 10:150. Registration exemptions](https://www.frixlaw.com/law-library/statutes/STATE_KY_KAR_T808_C010_R150.md)
- [808 KAR 10:160 808 KAR 10:160. Definitions for 808 KAR Chapter 10](https://www.frixlaw.com/law-library/statutes/STATE_KY_KAR_T808_C010_R160.md)
- [808 KAR 10:170 808 KAR 10:170. Exemption claims from securities registration; form](https://www.frixlaw.com/law-library/statutes/STATE_KY_KAR_T808_C010_R170.md)
- [808 KAR 10:200 808 KAR 10:200. Investment advisers' minimum liquid capitalization; bond](https://www.frixlaw.com/law-library/statutes/STATE_KY_KAR_T808_C010_R200.md)

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Source: Frix Law Library, https://www.frixlaw.com/law-library/statutes/STATE_KY_KAR_T808_C010_R120. Check the current official text before relying on it. Not legal advice.