Ky. Rev. Stat. Ann. ch. 292 – Securities (Blue Sky Law) | Midpage

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Kentucky Revised Statutes

Chapter 292

Ky. Rev. Stat. Ann. ch. 292

Securities (Blue Sky Law)

Commonwealth of Kentucky

292.310Definitions for chapter.292.313Applicability of specified provisions to sales transactions.292.320Fraudulent and other prohibited practices.292.322Securities fraud prosecution and prevention fund.292.325Filing of prospectus, pamphlet, or other advertising communication by order of commissioner.292.327Filing of documents with respect to covered securities -- Fees.292.330Registration of broker-dealers, agents, investment advisers, and investment adviser representatives.292.3301Definitions -- Private fund adviser registration exemptions -- Filings.292.331Application for registration -- Contents -- Conditions -- Requirements.292.332Notice filing by covered adviser -- Contents -- Exemptions -- Renewal.292.333Successor broker-dealers and investment advisers -- New application for or amendment to registration or notice filing -- Name change by registrant.292.334Notice of termination of employment or association -- Termination of registration or application by commissioner -- Temporary registration -- Withdrawal of registration or notice filing.292.335Fees for initial or renewal registration or notice filing.292.336Recordkeeping and reporting requirements -- Examination by commissioner -- Administrative regulations -- Central depository system for documents -- Investment advisers -- Required policies and procedures.292.337Grounds for denial, suspension, limitation, or revocation of registration and for disciplinary action -- Summary order -- Emergency hearing -- Order in accordance with KRS Chapter 13B.292.338Investment adviser representatives -- Continuing education requirements.292.340Registration of securities.292.350Registration by notification.292.360Registration by coordination.292.370Registration by qualification.292.380General provisions regarding registration of securities.292.390Denial, suspension, and revocation of registration.292.400Exempt securities.292.410Exempt transactions -- Summary order denying or revoking exemption -- Appeal.292.411Exemption from KRS 292.330 to 292.390 for offer or sale of security after January 1, 2015 -- Conditions -- Application of KRS 292.410(3) and (4).292.412Registration of securities Internet Web site operators.292.415Claim of exemption -- Effect of failure to file.292.420Burden of proving exemption.292.430Consent to service of process.292.440Misleading filings.292.450Unlawful representations concerning registration or exemption.292.460Investigations and subpoenas.292.470Remedies.292.480Civil liabilities.292.490Judicial review of orders.292.500Administration of chapter.292.530Purpose of chapter.292.540Effect of registrations under prior law.292.545Interest charges by broker or dealer.292.550Citation of chapter.292.6501Definitions for KRS 292.6501 to 292.6512.292.6502Registration in beneficiary form -- Sole or joint tenancy ownership.292.6503Registration in beneficiary form -- Applicable law.292.6504Origination of registration in beneficiary form.292.6505Form of registration in beneficiary form.292.6506Effect of registration in beneficiary form.292.6507Ownership on death of owner.292.6508Protection of registering entity.292.6509Nontestamentary transfer on death.292.6510Terms, conditions, and forms for registration.292.6511Short title of KRS 292.6501 to 292.6512 -- Construction of KRS 292.6501 to 292.6512.292.6512Application of KRS 292.6501 to 292.6512.292.991Penalties.