Codified Laws


Text Search


Enter the text to search for and click Search to get a list of statutes containing the text you entered. Tips:
  • Multiple words will be searched as a phrase. Entering Property Tax will return statutes that contain the complete phrase Property Tax.
  • Logical Operators are allowed. Hunting and Fishing will return statutes that containing both hunting and fishing. Hunting or Fishing will return statutes that contain hunting, fishing, or both.
  • Wild cards(*) are allowed. Entering Approp* will return statutes that contain Appropriation, Appropriate, Appropriated, etc..
  • Punctuation can also be used as operators. + = and, , = or. Searching for phrases that have , and will result in error unless you enclose the entire phrase in quotes.
The Filter option allows you to narrow your search results to a specific Title or Chapter. Here is a tip for using the filter option.
  • Use a dash (-) as the last character of your filter to refine searches. For example the filter "1-1" returns sections in 1-1, 1-10, 1-11, 1-12, etc. The filter "1-1-" returns only sections in Chapter 1-1.

Quick Find


Type the Statute number you are looking for in the form Title-Chapter-Section . Examples(1-1-1.1, 27A-11A-12, etc.)

The Get Statute button can be used to locate a specific statute. You may type in a title, chapter, or section number. Example: typing 1 will return the chapter list for Title 1, typing 1-1 will return the section list for chapter 1-1, typing 1-1-1 will return section 1-1-1 of the statutes.

The Get Chapter button can be used to load a complete chapter of the statutes. This function requires a title and a chapter number. Examples: 1-1, 57A-1, 1-3

 
     47-31B-407.   Succession and change in registration of broker-dealer or investment advisor. (a) Succession. A broker-dealer or investment adviser may succeed to 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 as a successor an application for registration pursuant to § 47-31B-401 or 47-31B-403 or a notice pursuant to § 47-31B-405 for the unexpired portion of the current registration or notice filing.
     (b) Organizational change. A broker-dealer or investment adviser that changes its form of organization or state of incorporation or organization may continue its registration by filing an amendment to its registration if the change does not involve a material change in its financial condition or management. The amendment becomes effective when filed or on a date designated by the registrant in its filing. The new organization is a successor to the original registrant for the purposes of this chapter. If there is a material change in financial condition or management, the broker-dealer or investment adviser shall file a new application for registration. A predecessor registered under this chapter 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 days after filing its amendment to effect succession.
     (c) Name change. 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.
     (d) Change of control. A change of control of a broker-dealer or investment adviser may be made in accordance with a rule adopted or order issued under this chapter.

Source: SL 2004, ch 278, § 23.


Get Chapter 47-31B
Back to Chapter 47-31B

Click message to listen