# KRS § 292.333: 292.333 Successor broker-dealers and investment advisers -- New application for or amendment to registration or notice filing -- Name change by registrant > Kentucky · Statutes · In force URL: https://www.frixlaw.com/law-library/statutes/STATE_KY_TXXV_C292_S292.333 ## Section - **Citation:** KRS § 292.333 - **Heading:** 292.333 Successor broker-dealers and investment advisers -- New application for or amendment to registration or notice filing -- Name change by registrant - **Jurisdiction:** Kentucky - **Kind:** Statutes - **Status:** In force - **Text as of:** August 14, 2026 - **Source:** Compiled text - **Location:** KY Code / Title XXV / Chapter 292 / Section 292.333 ## Text 292.333 Successor broker-dealers and investment advisers -- New application for or amendment to registration or notice filing -- Name change by registrant. (1) Pursuant to subsection (2) or (3) of this section, a broker-dealer or investment adviser may succeed to the unexpired portion of the current registration of another broker-dealer or investment adviser or a notice filing of a federal covered investment adviser, and a federal covered investment adviser may succeed to the current registration of an investment adviser or notice filing of another federal covered investment adviser by filing a new application for registration or notice filing or amending the registration or notice filing of its predecessor. The successor shall indicate on its application or amendment that it is filing as a successor. (2) A successor broker-dealer or investment adviser shall file a new application for registration if the succession is a result of a material change in the financial condition, management, or ownership of the predecessor. The predecessor shall stop conducting its securities business other than winding down transactions and shall file for withdrawal of broker-dealer or investment adviser registration within forty- five (45) days after the successor files its application for registration. (3) A successor broker-dealer or investment adviser may file an amendment to the registration of its predecessor if the succession is a result of a change in the form of organization or the state of incorporation or organization of the predecessor that does not involve a material change in the financial condition, management, or ownership of the predecessor. The amendment becomes effective when filed or on a date designated by the successor in its filing. (4) A broker-dealer or investment adviser that changes its name may continue its registration by filing an amendment to its registration. The amendment becomes effective when filed or on a date designated by the registrant. ## Nearby sections - [KRS § 292.310 292.310 Definitions for chapter](https://www.frixlaw.com/law-library/statutes/STATE_KY_TXXV_C292_S292.310.md) - [KRS § 292.313 292.313 Applicability of specified provisions to sales transactions](https://www.frixlaw.com/law-library/statutes/STATE_KY_TXXV_C292_S292.313.md) - [KRS § 292.320 292.320 Fraudulent and other prohibited practices](https://www.frixlaw.com/law-library/statutes/STATE_KY_TXXV_C292_S292.320.md) - [KRS § 292.322 292.322 Securities fraud prosecution and prevention fund](https://www.frixlaw.com/law-library/statutes/STATE_KY_TXXV_C292_S292.322.md) - [KRS § 292.325 292.325 Filing of prospectus, pamphlet, or other advertising communication by order of commissioner](https://www.frixlaw.com/law-library/statutes/STATE_KY_TXXV_C292_S292.325.md) - [KRS § 292.327 292.327 Filing of documents with respect to covered securities -- Fees](https://www.frixlaw.com/law-library/statutes/STATE_KY_TXXV_C292_S292.327.md) - [KRS § 292.330 292.330 Registration of broker-dealers, agents, investment advisers, and investment adviser representatives](https://www.frixlaw.com/law-library/statutes/STATE_KY_TXXV_C292_S292.330.md) - [KRS § 292.331 292.331 Application for registration -- Contents -- Conditions -- Requirements](https://www.frixlaw.com/law-library/statutes/STATE_KY_TXXV_C292_S292.331.md) - [KRS § 292.332 292.332 Notice filing by covered adviser -- Contents -- Exemptions -- Renewal](https://www.frixlaw.com/law-library/statutes/STATE_KY_TXXV_C292_S292.332.md) - [KRS § 292.333 292.333 Successor broker-dealers and investment advisers -- New application for or amendment to registration or notice filing -- Name change by registrant](https://www.frixlaw.com/law-library/statutes/STATE_KY_TXXV_C292_S292.333.md) - [KRS § 292.334 292.334 Notice of termination of employment or association -- Termination of registration or application by commissioner -- Temporary registration -- Withdrawal of registration or notice filing](https://www.frixlaw.com/law-library/statutes/STATE_KY_TXXV_C292_S292.334.md) - [KRS § 292.335 292.335 Fees for initial or renewal registration or notice filing](https://www.frixlaw.com/law-library/statutes/STATE_KY_TXXV_C292_S292.335.md) - [KRS § 292.336 292.336 Recordkeeping and reporting requirements -- Examination by commissioner -- Administrative regulations -- Central depository system for documents -- Investment advisers -- Required policies and procedures](https://www.frixlaw.com/law-library/statutes/STATE_KY_TXXV_C292_S292.336.md) - [KRS § 292.337 292.337 Grounds for denial, suspension, limitation, or revocation of registration and for disciplinary action -- Summary order -- Emergency hearing -- Order in accordance with KRS Chapter 13B](https://www.frixlaw.com/law-library/statutes/STATE_KY_TXXV_C292_S292.337.md) --- Source: Frix Law Library, https://www.frixlaw.com/law-library/statutes/STATE_KY_TXXV_C292_S292.333. Check the current official text before relying on it. Not legal advice.