Kentucky Administrative Code
10,863 sections across 828 Kentucky regulatory chapters.
808 KAR 10:110 Records of investment advisers
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Title 808 | Chapter 010 | Regulation 110ALTERNATE VIEWThis is how this document appeared before it was engrossed.808 KAR 10:110.Records of investment advisers.RELATES TO:KRS 292.336(1)(a), 17 C.F.R. 275.204-2, 15 U.S.C. 80b-3STATUTORY AUTHORITY:KRS 292.336(1)(a), 292.500(3)NECESS…
808 KAR 10Open chapter PDF ↗808 KAR 10:120 Registration files
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Title 808 | Chapter 010 | Regulation 120ALTERNATE VIEWThis is how this document appeared before it was engrossed.808 KAR 10:120.Registration files.RELATES TO:KRS Chapter 292STATUTORY AUTHORITY:KRS 292.500(3)NECESSITY, FUNCTION, AND CONFORMITY:To require that broker-dealer registr…
808 KAR 10Open chapter PDF ↗808 KAR 10:130 Amendments to registration statement
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Title 808 | Chapter 010 | Regulation 130ALTERNATE VIEWThis is how this document appeared before it was engrossed.808 KAR 10:130.Amendments to registration statement.RELATES TO:KRS 292.360, 292.370STATUTORY AUTHORITY:KRS 292.500(3)NECESSITY, FUNCTION, AND CONFORMITY:KRS 292.500(3)…
808 KAR 10Open chapter PDF ↗808 KAR 10:140 Registration statements to be current
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Title 808 | Chapter 010 | Regulation 140REPEALEDThis document is no longer current.ALTERNATE VIEWThis is how this document appeared before it was engrossed.808 KAR 010:140.Registration statements to be currentRELATES TO:Not availableSTATUTORY AUTHORITY:Not availableNECESSITY, FUN…
808 KAR 10Open chapter PDF ↗808 KAR 10:141 Repeal of 808 KAR 10:140, 10:190, 10:220, 10:230, 10:270
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Title 808 | Chapter 010 | Regulation 141INACTIVEThis document is no longer current.ALTERNATE VIEWThis is how this document appeared before it was engrossed.808 KAR 010:141.Repeal of 808 KAR 10:140, 10:190, 10:220, 10:230, 10:270RELATES TO:Not availableSTATUTORY AUTHORITY:Not avai…
808 KAR 10Open chapter PDF ↗808 KAR 10:15 Not available
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Title 808 | Chapter 010 | Regulation 015INACTIVEThis document is no longer current.ALTERNATE VIEWThis is how this document appeared before it was engrossed.808 KAR 10:015.Required books and records for broker-dealers and investment advisors.RELATES TO:Not availableSTATUTORY AUTHO…
808 KAR 10Open chapter PDF ↗808 KAR 10:150 Registration exemptions
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Title 808 | Chapter 010 | Regulation 150ALTERNATE VIEWThis is how this document appeared before it was engrossed.808 KAR 10:150.Registration exemptions.RELATES TO:KRS 292.410(1)(q)STATUTORY AUTHORITY:KRS 292.410(1)(q), 292.500(3)NECESSITY, FUNCTION, AND CONFORMITY:KRS 292.500(3) …
808 KAR 10Open chapter PDF ↗808 KAR 10:160 Definitions for 808 KAR Chapter 10
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Title 808 | Chapter 010 | Regulation 160ALTERNATE VIEWThis is how this document appeared before it was engrossed.808 KAR 10:160.Definitions for 808 KAR Chapter 10.RELATES TO:KRS Chapter 292STATUTORY AUTHORITY:KRS 292.500(3)NECESSITY, FUNCTION, AND CONFORMITY:KRS 292.500(3) author…
808 KAR 10Open chapter PDF ↗808 KAR 10:170 Exemption claims from securities registration; form
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Title 808 | Chapter 010 | Regulation 170ALTERNATE VIEWThis is how this document appeared before it was engrossed.808 KAR 10:170.Exemption claims from securities registration; form.RELATES TO:KRS 292.400(9), (12), 292.415(1), 292.420(3)STATUTORY AUTHORITY:KRS 292.415(1), 292.500(3…
808 KAR 10Open chapter PDF ↗808 KAR 10:190 Securities registration exemptions for certain business transactions
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Title 808 | Chapter 010 | Regulation 190REPEALEDThis document is no longer current.ALTERNATE VIEWThis is how this document appeared before it was engrossed.808 KAR 010:190.Securities registration exemptions for certain business transactionsRELATES TO:Not availableSTATUTORY AUTHOR…
808 KAR 10Open chapter PDF ↗808 KAR 10:20 Capital, records and reporting requirements of broker-dealers
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Title 808 | Chapter 010 | Regulation 020ALTERNATE VIEWThis is how this document appeared before it was engrossed.808 KAR 10:020.Capital, records and reporting requirements of broker-dealers.RELATES TO:KRS 292.330, 292.460, 15 U.S.C. 78o(h)STATUTORY AUTHORITY:KRS 292.500(3), 15 U.…
808 KAR 10Open chapter PDF ↗808 KAR 10:200 Investment advisers' minimum liquid capitalization; bond
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Title 808 | Chapter 010 | Regulation 200ALTERNATE VIEWThis is how this document appeared before it was engrossed.808 KAR 10:200.Investment advisers' minimum liquid capitalization; bond.RELATES TO:KRS 292.331(4), 292.336(6), 7 U.S.C. 6fSTATUTORY AUTHORITY:KRS 292.331(4), 292.336(6…
808 KAR 10Open chapter PDF ↗808 KAR 10:210 Registration exemptions - Federal Regulation D
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Title 808 | Chapter 010 | Regulation 210ALTERNATE VIEWThis is how this document appeared before it was engrossed.808 KAR 10:210.Registration exemptions - Federal Regulation D.RELATES TO:KRS 292.410(1)(q), 17 C.F.R. 230.262, 230.501, 230.504, 230.505, 230.508, 239.500STATUTORY AUT…
808 KAR 10Open chapter PDF ↗808 KAR 10:220 Registration exemptions - NASDAQ/NMS Exemption
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Title 808 | Chapter 010 | Regulation 220REPEALEDThis document is no longer current.ALTERNATE VIEWThis is how this document appeared before it was engrossed.808 KAR 010:220.Registration exemptions - NASDAQ/NMS ExemptionRELATES TO:Not availableSTATUTORY AUTHORITY:Not availableNECES…
808 KAR 10Open chapter PDF ↗808 KAR 10:225 Administrative hearing procedures
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Title 808 | Chapter 010 | Regulation 225ALTERNATE VIEWThis is how this document appeared before it was engrossed.808 KAR 10:225.Administrative hearing procedures.RELATES TO:KRS Chapter 13B, 292.330, 292.460, 292.470, 292.500(1), (3), (9)STATUTORY AUTHORITY:KRS 292.500(1), (3)NECE…
808 KAR 10Open chapter PDF ↗808 KAR 10:230 Fee payment KRS 292.380(5)
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Title 808 | Chapter 010 | Regulation 230REPEALEDThis document is no longer current.ALTERNATE VIEWThis is how this document appeared before it was engrossed.808 KAR 010:230.Fee payment KRS 292.380(5)RELATES TO:Not availableSTATUTORY AUTHORITY:Not availableNECESSITY, FUNCTION, AND …
808 KAR 10Open chapter PDF ↗808 KAR 10:240 Registration exemptions - sale of business
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Title 808 | Chapter 010 | Regulation 240ALTERNATE VIEWThis is how this document appeared before it was engrossed.808 KAR 10:240.Registration exemptions - sale of business.RELATES TO:KRS 292.410(1)(q)STATUTORY AUTHORITY:KRS 292.410(1)(q), 292.500(3)NECESSITY, FUNCTION, AND CONFORM…
808 KAR 10Open chapter PDF ↗808 KAR 10:260 Examination requirement for individuals advising the public on securities, broker-dealers, and agents
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Title 808 | Chapter 010 | Regulation 260PREVIOUS VERSIONThe previous document that this document is based upon is available.View Previous VersionALTERNATE VIEWThis is how this document appeared before it was engrossed.808 KAR 10:260.Examination requirement for individuals advisin…
808 KAR 10Open chapter PDF ↗808 KAR 10:270 Registration exemption for securities listed on Chicago Bd. Options Exchange
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Title 808 | Chapter 010 | Regulation 270REPEALEDThis document is no longer current.ALTERNATE VIEWThis is how this document appeared before it was engrossed.808 KAR 010:270.Registration exemption for securities listed on Chicago Bd. Options ExchangeRELATES TO:Not availableSTATUTOR…
808 KAR 10Open chapter PDF ↗808 KAR 10:280 Qualifications, eligibility, and restrictions on the use of Form U-7, Small Corporate Offering Registration
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Title 808 | Chapter 010 | Regulation 280ALTERNATE VIEWThis is how this document appeared before it was engrossed.808 KAR 10:280.Qualifications, eligibility, and restrictions on the use of Form U-7, Small Corporate Offering Registration.RELATES TO:KRS Chapter 292, 15 U.S.C. 78aSTA…
808 KAR 10Open chapter PDF ↗808 KAR 10:290 Assistant representative
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Title 808 | Chapter 010 | Regulation 290REPEALEDThis document is no longer current.ALTERNATE VIEWThis is how this document appeared before it was engrossed.808 KAR 010:290.Assistant representativeRELATES TO:Not availableSTATUTORY AUTHORITY:Not availableNECESSITY, FUNCTION, AND CO…
808 KAR 10Open chapter PDF ↗808 KAR 10:291 Repeal of 808 KAR 10:290
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Title 808 | Chapter 010 | Regulation 291INACTIVEThis document is no longer current.ALTERNATE VIEWThis is how this document appeared before it was engrossed.808 KAR 010:291.Repeal of 808 KAR 10:290RELATES TO:Not availableSTATUTORY AUTHORITY:Not availableNECESSITY, FUNCTION, AND CO…
808 KAR 10Open chapter PDF ↗808 KAR 10:30 Conduct of broker-dealers, agents, and employees; investment advisers and representatives
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Title 808 | Chapter 010 | Regulation 030ALTERNATE VIEWThis is how this document appeared before it was engrossed.808 KAR 10:030.Conduct of broker-dealers, agents, and employees; investment advisers and representatives.RELATES TO:KRS 292.330STATUTORY AUTHORITY:KRS 292.336(6), 292.…
808 KAR 10Open chapter PDF ↗808 KAR 10:300 Registration exemptions - pension plans
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Title 808 | Chapter 010 | Regulation 300ALTERNATE VIEWThis is how this document appeared before it was engrossed.808 KAR 10:300.Registration exemptions - pension plans.RELATES TO:KRS 292.330-292.390, 292.395, 292.400(11), 292.410(1)(q), 17 C.F.R. 230.701STATUTORY AUTHORITY:KRS 29…
808 KAR 10Open chapter PDF ↗808 KAR 10:301 Repeal of 808 KAR 10:300Withdrawn
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Title 808 | Chapter 010 | Regulation 301WITHDRAWNThis document is no longer current.ALTERNATE VIEWThis is how this document appeared before it was engrossed.808 KAR 010:301.Repeal of 808 KAR 10:300RELATES TO:Not availableSTATUTORY AUTHORITY:Not availableNECESSITY, FUNCTION, AND C…
808 KAR 10Open chapter PDF ↗808 KAR 10:310 Broker-dealer agent de minimis rules
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Title 808 | Chapter 010 | Regulation 310REPEALEDThis document is no longer current.ALTERNATE VIEWThis is how this document appeared before it was engrossed.808 KAR 010:310.Broker-dealer agent de minimis rulesRELATES TO:Not availableSTATUTORY AUTHORITY:Not availableNECESSITY, FUNC…
808 KAR 10Open chapter PDF ↗808 KAR 10:320 Broker-dealer books and records requirements
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Title 808 | Chapter 010 | Regulation 320ALTERNATE VIEWThis is how this document appeared before it was engrossed.808 KAR 10:320.Broker-dealer books and records requirements.RELATES TO:KRS 292.336(1)(a), 17 C.F.R. 240.17a-3, 240.17-a-4, 15 U.S.C. 78qSTATUTORY AUTHORITY:KRS 292.336…
808 KAR 10Open chapter PDF ↗808 KAR 10:330 Notice filing requirements for covered advisers
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Title 808 | Chapter 010 | Regulation 330REPEALEDThis document is no longer current.ALTERNATE VIEWThis is how this document appeared before it was engrossed.808 KAR 010:330.Notice filing requirements for covered advisersRELATES TO:Not availableSTATUTORY AUTHORITY:Not availableNECE…
808 KAR 10Open chapter PDF ↗808 KAR 10:331 Repeal of 808 KAR 10:330
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Title 808 | Chapter 010 | Regulation 331INACTIVEThis document is no longer current.ALTERNATE VIEWThis is how this document appeared before it was engrossed.808 KAR 010:331.Repeal of 808 KAR 10:330RELATES TO:Not availableSTATUTORY AUTHORITY:Not availableNECESSITY, FUNCTION, AND CO…
808 KAR 10Open chapter PDF ↗808 KAR 10:340 Registration exemption for certain limited offerings made exclusively to accredited investors
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Title 808 | Chapter 010 | Regulation 340ALTERNATE VIEWThis is how this document appeared before it was engrossed.808 KAR 10:340.Registration exemption for certain limited offerings made exclusively to accredited investors.RELATES TO:KRS 292.410(1)(q), 292.420(3), 17 C.F.R. 230.50…
808 KAR 10Open chapter PDF ↗808 KAR 10:350 Internet advertising
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Title 808 | Chapter 010 | Regulation 350ALTERNATE VIEWThis is how this document appeared before it was engrossed.808 KAR 10:350.Internet advertising.RELATES TO:KRS 292.320, 292.330STATUTORY AUTHORITY:KRS 292.500(3)NECESSITY, FUNCTION, AND CONFORMITY:KRS 292.500(3) authorizes the …
808 KAR 10Open chapter PDF ↗808 KAR 10:360 Safe harbor for limited liability company membership interests
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Title 808 | Chapter 010 | Regulation 360ALTERNATE VIEWThis is how this document appeared before it was engrossed.808 KAR 10:360.Safe harbor for limited liability company membership interests.RELATES TO:KRS 292.310(19)STATUTORY AUTHORITY:KRS 292.400(14), 292.500(3)NECESSITY, FUNCT…
808 KAR 10Open chapter PDF ↗808 KAR 10:370 Securities offered on the Internet but not sold in Kentucky
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Title 808 | Chapter 010 | Regulation 370ALTERNATE VIEWThis is how this document appeared before it was engrossed.808 KAR 10:370.Securities offered on the Internet but not sold in Kentucky.RELATES TO:KRS 292.410(1)(q)STATUTORY AUTHORITY:KRS 292.500(3)NECESSITY, FUNCTION, AND CONFO…
808 KAR 10Open chapter PDF ↗808 KAR 10:380 Solicitations of interest prior to the filing of a registration statement
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Title 808 | Chapter 010 | Regulation 380ALTERNATE VIEWThis is how this document appeared before it was engrossed.808 KAR 10:380.Solicitations of interest prior to the filing of a registration statement.RELATES TO:KRS 292.330, 292.340, 292.410(1)(i), (q), 292.470STATUTORY AUTHORIT…
808 KAR 10Open chapter PDF ↗808 KAR 10:390 Confidentially disclosed documents
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Title 808 | Chapter 010 | Regulation 390ALTERNATE VIEWThis is how this document appeared before it was engrossed.808 KAR 10:390.Confidentially disclosed documents.RELATES TO:KRS 292.500(17)STATUTORY AUTHORITY:KRS 292.500(3)NECESSITY, FUNCTION, AND CONFORMITY:KRS 292.500(3) author…
808 KAR 10Open chapter PDF ↗808 KAR 10:40 Examples of dishonest or unethical practice
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Title 808 | Chapter 010 | Regulation 040REPEALEDThis document is no longer current.ALTERNATE VIEWThis is how this document appeared before it was engrossed.808 KAR 010:040.Examples of dishonest or unethical practiceRELATES TO:Not availableSTATUTORY AUTHORITY:Not availableNECESSIT…
808 KAR 10Open chapter PDF ↗808 KAR 10:400 Examination fees and criteria
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Title 808 | Chapter 010 | Regulation 400ALTERNATE VIEWThis is how this document appeared before it was engrossed.808 KAR 10:400.Examination fees and criteria.RELATES TO:KRS 292.336(4), 15 U.S.C. 78s(b), 15 U.S.C. 78wSTATUTORY AUTHORITY:KRS 292.336(4)(b)NECESSITY, FUNCTION, AND CO…
808 KAR 10Open chapter PDF ↗808 KAR 10:41 Repeal of 808 KAR 10:040
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Title 808 | Chapter 010 | Regulation 041INACTIVEThis document is no longer current.ALTERNATE VIEWThis is how this document appeared before it was engrossed.808 KAR 010:041.Repeal of 808 KAR 10:040RELATES TO:Not availableSTATUTORY AUTHORITY:Not availableNECESSITY, FUNCTION, AND CO…
808 KAR 10Open chapter PDF ↗808 KAR 10:410 Life settlement investments
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Title 808 | Chapter 010 | Regulation 410EXPIREDThis document is no longer current.ALTERNATE VIEWThis is how this document appeared before it was engrossed.808 KAR 10:410.Life settlement investmentsRELATES TO:Not availableSTATUTORY AUTHORITY:Not availableCERTIFICATION STATEMENT: N…
808 KAR 10Open chapter PDF ↗808 KAR 10:42 Use of senior certifications and designations
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Title 808 | Chapter 010 | Regulation 042ALTERNATE VIEWThis is how this document appeared before it was engrossed.808 KAR 10:042.Use of senior certifications and designations.RELATES TO:KRS 292.320(1)(c), 292.320(2)(b), 292.337(2)(h), 292.470, 292.530(1)(a)STATUTORY AUTHORITY:KRS …
808 KAR 10Open chapter PDF ↗808 KAR 10:420 Not available
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Title 808 | Chapter 010 | Regulation 420INACTIVEThis document is no longer current.ALTERNATE VIEWThis is how this document appeared before it was engrossed.808 KAR 010:420.Not available.RELATES TO:Not availableSTATUTORY AUTHORITY:Not availableNECESSITY, FUNCTION, AND CONFORMITY:N…
808 KAR 10Open chapter PDF ↗808 KAR 10:430 Required filing for oil, gas, and mineral securities offerings relying upon the registration exemption in KRS 292.410(1)(i)
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Title 808 | Chapter 010 | Regulation 430ALTERNATE VIEWThis is how this document appeared before it was engrossed.808 KAR 10:430.Required filing for oil, gas, and mineral securities offerings relying upon the registration exemption in KRS 292.410(1)(i).RELATES TO:KRS 292.410(1)(i)…
808 KAR 10Open chapter PDF ↗808 KAR 10:440 Examples of dishonest or unethical practice for broker-dealers and agents
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Title 808 | Chapter 010 | Regulation 440PREVIOUS VERSIONThe previous document that this document is based upon is available.View Previous VersionALTERNATE VIEWThis is how this document appeared before it was engrossed.808 KAR 10:440.Examples of dishonest or unethical practice for…
808 KAR 10Open chapter PDF ↗808 KAR 10:450 Examples of dishonest or unethical practice for investment advisers and investment adviser representatives
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Title 808 | Chapter 010 | Regulation 450PREVIOUS VERSIONThe previous document that this document is based upon is available.View Previous VersionALTERNATE VIEWThis is how this document appeared before it was engrossed.808 KAR 10:450.Examples of dishonest or unethical practice for…
808 KAR 10Open chapter PDF ↗808 KAR 10:460 Request for Approval of Change in Control
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Title 808 | Chapter 010 | Regulation 460ALTERNATE VIEWThis is how this document appeared before it was engrossed.808 KAR 10:460.Request for Approval of Change in Control.RELATES TO:KRS 292.330(13)(a)STATUTORY AUTHORITY:KRS 292.330(12)(f), 292.500(3)NECESSITY, FUNCTION, AND CONFOR…
808 KAR 10Open chapter PDF ↗808 KAR 10:480 Books and records of firms employing issuer agents
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Title 808 | Chapter 010 | Regulation 480ALTERNATE VIEWThis is how this document appeared before it was engrossed.808 KAR 10:480.Books and records of firms employing issuer agents.RELATES TO:KRS 292.336(1)(a), (b)STATUTORY AUTHORITY:KRS 292.500(3)NECESSITY, FUNCTION, AND CONFORMIT…
808 KAR 10Open chapter PDF ↗808 KAR 10:490 Procedures for distributing and using funds from the Securities Fraud Prosecution and Prevention Fund
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Title 808 | Chapter 010 | Regulation 490ALTERNATE VIEWThis is how this document appeared before it was engrossed.808 KAR 10:490.Procedures for distributing and using funds from the Securities Fraud Prosecution and Prevention Fund.RELATES TO:KRS 292.322STATUTORY AUTHORITY:KRS 292.…
808 KAR 10Open chapter PDF ↗808 KAR 10:50 Application withdrawal
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Title 808 | Chapter 010 | Regulation 050ALTERNATE VIEWThis is how this document appeared before it was engrossed.808 KAR 10:050.Application withdrawal.RELATES TO:KRS 292.331STATUTORY AUTHORITY:KRS 292.331(6), 292.500(3)NECESSITY, FUNCTION, AND CONFORMITY:KRS 292.331(6) authorizes…
808 KAR 10Open chapter PDF ↗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
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Title 808 | Chapter 010 | Regulation 500EXPIREDThis document is no longer current.ALTERNATE VIEWThis is how this document appeared before it was engrossed.808 KAR 10:500.Required forms, fees, filing procedures, and recordkeeping requirements for persons operating pursuant to KRS …
808 KAR 10Open chapter PDF ↗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
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Title 808 | Chapter 010 | Regulation 501PREVIOUS VERSIONThe previous document that this document is based upon is available.View Previous VersionALTERNATE VIEWThis is how this document appeared before it was engrossed.808 KAR 10:501.Required forms, fees, filing procedures, and re…
808 KAR 10Open chapter PDF ↗