{"data":{"id":"us-ky/krs-292.333","jurisdiction":"us-ky","citation":"KRS 292.333","heading":"Successor broker -dealers and investment advisers -- New application for","body":"or amendment to registration or notice filing -- Name change by registrant.\n(1) Pursuant to subsection (2) or (3) of this section, a broker -dealer or investment\nadviser may succeed to the unexpired portion of the current registration of another\nbroker-dealer or investment adviser or a notice filing of a federal covered\ninvestment adviser, and a federal covered investment adviser may succeed to the\ncurrent registration of an investm ent adviser or notice filing of another federal\ncovered investment adviser by filing a new application for registration or notice\nfiling or amending the registration or notice filing of its predecessor. The successor\nshall indicate on its application or amendment that it is filing as a successor.\n(2) A successor broker -dealer or investment adviser shall file a new application for\nregistration if the succession is a result of a material change in the financial\ncondition, management, or ownership of the predecessor. The predecessor shall stop\nconducting its securities business other than winding down transactions and shall\nfile for withdrawal of broker -dealer or investment adviser registration within forty -\nfive (45) days after the successor files its application for registration.\n(3) A successor broker -dealer or investment adviser may file an amendment to the\nregistration of its predecessor if the succession is a result of a change in the form of\norganization or the state of incorporation or organization of the  predecessor that\ndoes not involve a material change in the financial condition, management, or\nownership of the predecessor. The amendment becomes effective when filed or on a\ndate designated by the successor in its filing.\n(4) A broker -dealer or investme nt adviser that changes its name may continue its\nregistration by filing an amendment to its registration. The amendment becomes\neffective when filed or on a date designated by the registrant.","path":["KRS Chapter 292"],"source_url":"https://apps.legislature.ky.gov/law/statutes/statute.aspx?id=15543","current_through":"Includes enactments through the 2026 Regular Session","vintage":"09/05/2026","retrieved_at":"2026-09-05T20:57:23Z","sha256":"82e4f2bb174c5a3779ac222667b5498d35c892e48dc759e34425ffae8713e861","source_id":"us-ky","stale":false,"prev":"us-ky/krs-292.332","next":"us-ky/krs-292.334"},"notice":"GroundRules: Original legal text. Not legal advice."}