Collections
Kentucky Administrative Regulations
Title 808
Chapter 10
808 Ky. Admin. Regs. 10
Securities
Public Protection Cabinet - Department of Financial Institutions
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010
Forms for application, registration, notice filing, reporting and compliance.
015
Required books and records for broker-dealers and investment advisors.
020
Capital, records and reporting requirements of broker-dealers.
030
Conduct of broker-dealers, agents, and employees; investment advisers and representatives.
040
Examples of dishonest or unethical practice
041
Repeal of 808 KAR 10:040
042
Use of senior certifications and designations.
050
Application withdrawal.
060
Abandoned applications.
070
Signature requirements.
080
Guidelines for issuers
081
Repeal of 808 KAR 10:080, 300 and 310
082
Repeal of 808 KAR 10:080 and 10:310
090
Issuer's reports.
100
Records of broker-dealers.
110
Records of investment advisers.
120
Registration files.
130
Amendments to registration statement.
140
Registration statements to be current
141
Repeal of 808 KAR 10:140, 10:190, 10:220, 10:230, 10:270
150
Registration exemptions.
160
Definitions for 808 KAR Chapter 10.
170
Exemption claims from securities registration; form.
190
Securities registration exemptions for certain business transactions
200
Investment advisers' minimum liquid capitalization; bond.
210
Registration exemptions - Federal Regulation D.
220
Registration exemptions - NASDAQ/NMS Exemption
225
Administrative hearing procedures.
230
Fee payment KRS 292.380(5)
240
Registration exemptions - sale of business.
260
Examination requirement for individuals advising the public on securities, broker-dealers, and agents.
270
Registration exemption for securities listed on Chicago Bd. Options Exchange
280
Qualifications, eligibility, and restrictions on the use of Form U-7, Small Corporate Offering Registration.
290
Assistant representative
291
Repeal of 808 KAR 10:290
300
Registration exemptions - pension plans.
301
Repeal of 808 KAR 10:300
310
Broker-dealer agent de minimis rules
320
Broker-dealer books and records requirements.
330
Notice filing requirements for covered advisers
331
Repeal of 808 KAR 10:330
340
Registration exemption for certain limited offerings made exclusively to accredited investors.
350
Internet advertising.
360
Safe harbor for limited liability company membership interests.
370
Securities offered on the Internet but not sold in Kentucky.
380
Solicitations of interest prior to the filing of a registration statement.
390
Confidentially disclosed documents.
400
Examination fees and criteria.
410
Life settlement investments
420
Not available.
430
Required filing for oil, gas, and mineral securities offerings relying upon the registration exemption in KRS 292.410(1)(i).
440
Examples of dishonest or unethical practice for broker-dealers and agents.
450
Examples of dishonest or unethical practice for investment advisers and investment adviser representatives.
460
Request for Approval of Change in Control.
480
Books and records of firms employing issuer agents.
490
Procedures for distributing and using funds from the Securities Fraud Prosecution and Prevention Fund.
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.
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.