Kentucky Administrative Regulations
Title 808 - PUBLIC PROTECTION CABINET - DEPARTMENT OF FINANCIAL INSTITUTIONS
Chapter 10 - Securities
- Section 808 KAR 10:010 - Forms for application, registration, notice filing, reporting and compliance
- Section 808 KAR 10:020 - Capital, records and reporting requirements of broker-dealers
- Section 808 KAR 10:030 - Conduct of broker-dealers, agents, and employees; investment advisers and representatives
- Section 808 KAR 10:042 - Use of Senior Certifications and Designations
- Section 808 KAR 10:050 - Application withdrawal
- Section 808 KAR 10:060 - Abandoned applications
- Section 808 KAR 10:090 - Issuer's reports
- Section 808 KAR 10:110 - Records of investment advisers
- Section 808 KAR 10:120 - Registration files
- Section 808 KAR 10:130 - Amendments to registration statement
- Section 808 KAR 10:150 - Registration exemptions
- Section 808 KAR 10:160 - Definitions for 808 KAR Chapter 10
- Section 808 KAR 10:170 - Exemption claims from securities registration; form
- Section 808 KAR 10:200 - Investment advisers' minimum liquid capitalization; bond
- Section 808 KAR 10:210 - Registration exemptions - Federal Regulation D
- Section 808 KAR 10:225 - Administrative hearing procedures
- Section 808 KAR 10:240 - Registration exemptions - sale of business
- Section 808 KAR 10:260 - Examination requirement for individuals advising the public on securities, broker-dealers, and agents
- Section 808 KAR 10:280 - Qualifications, eligibility, and restrictions on the use of Form U-7, Small Corporate Offering Registration
- Section 808 KAR 10:300 - Registration exemptions - pension plans
- Section 808 KAR 10:320 - Broker-dealer books and records requirements
- Section 808 KAR 10:340 - Registration exemption for certain limited offerings made exclusively to accredited investors
- Section 808 KAR 10:350 - Internet advertising
- Section 808 KAR 10:360 - Safe harbor for limited liability company membership interests
- Section 808 KAR 10:370 - Securities offered on the Internet but not sold in Kentucky
- Section 808 KAR 10:380 - Solicitations of interest prior to the filing of a registration statement
- Section 808 KAR 10:390 - Confidentially disclosed documents
- Section 808 KAR 10:400 - Examination fees and criteria
- Section 808 KAR 10:430 - Required filing for oil, gas, and mineral securities offerings relying upon the registration exemption in KRS 292.410(1)(i)
- Section 808 KAR 10:440 - Examples of dishonest or unethical practice for broker-dealers and agents
- Section 808 KAR 10:450 - Examples of dishonest or unethical practice for investment advisers and investment adviser representatives
- Section 808 KAR 10:460 - Request for approval of change in control
- Section 808 KAR 10:480 - Books and records of firms employing issuer agents
- Section 808 KAR 10:490 - Procedures for distributing and using funds from the Securities Fraud Prosecution and Prevention Fund
- Section 808 KAR 10:500 - Required forms, fees, filing procedures, and recordkeeping requirements for persons operating pursuant to KRS 292.411 and KRS 292.412, the Kentucky Intrastate Crowdfunding Exemption
- Section 808 KAR 10:501 - Required forms, fees, filing procedures, and recordkeeping requirements for persons operating pursuant to KRS 292.411 and KRS 292.412, the Kentucky Intrastate Crowdfunding Exemption; and notice filing requirements for federal crowdfunding offerings
Disclaimer: These regulations may not be the most recent version. Kentucky may have more current or accurate information. We make no warranties or guarantees about the accuracy, completeness, or adequacy of the information contained on this site or the information linked to on the state site. Please check official sources.
This site is protected by reCAPTCHA and the Google
Privacy Policy and
Terms of Service apply.
