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Code · Kentucky · Kentucky Revised Statutes

292.333 Successor broker-dealers and investment advisers -- New application for

295 words·~1 min read·/ky/292-333

A research copy — for the controlling text, always check the official state or federal source. Not legal advice.

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.
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