S.D. Admin. R. 20:08:03:11 - Notice of net capital deficiency

A broker-dealer shall file with the director an immediate notice whenever the net capital of the broker-dealer is less than is required in ยง 20:08:03:04.


S.D. Admin. R. 20:08:03:11
27 SDR 5, effective July 31, 2000; 30 SDR 211, effective July 1, 2004.

General Authority: SDCL 47-31B-605(a)(1).

Law Implemented: SDCL 47-31B-411(c).

State regulations are updated quarterly; we currently have two versions available. Below is a comparison between our most recent version and the prior quarterly release. More comparison features will be added as we have more versions to compare.

No prior version found.