<html> <head> <title>Rule 20:08:03:10 Notice of transfer of control or of name change.</title> <META NAME="Keywords" Content="Administrative Rules 20:08:03:10"> <META NAME="Description" Content="Administrative Rules 20:08:03:10 Notice of transfer of control or of name change."> <meta name=Generator content="Microsoft Office HTML Filter 2.0"> <meta http-equiv=Content-Type content="text/html; charset=windows-1252"> <meta name=Originator content="Microsoft Word 10"> <style> <!-- --> </style> </head> <body lang=EN-US> <div> <p>&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp; <b>20:08:03:10.&nbsp;&nbsp;Notice of transfer of control or of name change.</b> A broker-dealer shall promptly file with the director a notice of transfer of control or change of name not less than 30 days before the date on which the transfer of control or change of name is to become effective. The director may permit a shorter notice period.</p> <p>&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp; <b>Source:</b> 27 SDR 5, effective July 31, 2000; 30 SDR 211, effective July 1, 2004.</p> <p>&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp; <b>General Authority:</b> SDCL <A HREF="/statutes/DisplayStatute.aspx?Type=Statute&Statute=47-31B-407(d)">47-31B-407(d)</A>, <A HREF="/statutes/DisplayStatute.aspx?Type=Statute&Statute=47-31B-605(a)(1)">47-31B-605(a)(1).</A></p> <p>&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp; <b>Law Implemented:</b> SDCL <A HREF="/statutes/DisplayStatute.aspx?Type=Statute&Statute=47-31B-407(c)">47-31B-407(c)</A>, <A HREF="/statutes/DisplayStatute.aspx?Type=Statute&Statute=47-31B-407(d)">47-31B-407(d).</A></p> </div> </body> </html>