Kentucky Administrative Regulations
Title 808 - PUBLIC PROTECTION CABINET - DEPARTMENT OF FINANCIAL INSTITUTIONS
Chapter 10 - Securities
Section 808 KAR 10:110 - Records of investment advisers
Current through Register Vol. 50, No. 9, March 1, 2024
RELATES TO: KRS 292.336(1)(a), 17 C.F.R. 275.204-2, 15 U.S.C. 80b-3
NECESSITY, FUNCTION, AND CONFORMITY: KRS 292.500(3) authorizes the commissioner to promulgate administrative regulations necessary to carry out the provisions of KRS Chapter 292. KRS 292.336(1)(a) requires an investment adviser who maintains his principal place of business in Kentucky to make and keep records required by the commissioner. KRS 292.336(1)(d)establishes separate requirements for an investment adviser who maintains his principal place of business in a state other than Kentucky. This administrative regulation establishes the recordkeeping requirements for an investment adviser who maintains his principal place of business in Kentucky.
Section 1.
STATUTORY AUTHORITY: KRS 292.336(1)(a), 292.500(3)