Chapter 10 - Securities

  1. § 808 KAR 10:010 - Forms for application, registration, notice filing, reporting and compliance
  2. § 808 KAR 10:020 - Capital, records and reporting requirements of broker-dealers
  3. § 808 KAR 10:030 - Conduct of broker-dealers, agents, and employees; investment advisers and representatives
  4. § 808 KAR 10:042 - Use of Senior Certifications and Designations
  5. § 808 KAR 10:050 - Application withdrawal
  6. § 808 KAR 10:060 - Abandoned applications
  7. § 808 KAR 10:090 - Issuer's reports
  8. § 808 KAR 10:110 - Records of investment advisers
  9. § 808 KAR 10:120 - Registration files
  10. § 808 KAR 10:130 - Amendments to registration statement
  11. § 808 KAR 10:150 - Registration exemptions
  12. § 808 KAR 10:160 - Definitions for 808 KAR Chapter 10
  13. § 808 KAR 10:170 - Exemption claims from securities registration; form
  14. § 808 KAR 10:200 - Investment advisers' minimum liquid capitalization; bond
  15. § 808 KAR 10:210 - Registration exemptions - Federal Regulation D
  16. § 808 KAR 10:225 - Administrative hearing procedures
  17. § 808 KAR 10:240 - Registration exemptions - sale of business
  18. § 808 KAR 10:260 - Examination requirement for individuals advising the public on securities, broker-dealers, and agents
  19. § 808 KAR 10:280 - Qualifications, eligibility, and restrictions on the use of Form U-7, Small Corporate Offering Registration
  20. § 808 KAR 10:300 - Registration exemptions - pension plans
  21. § 808 KAR 10:320 - Broker-dealer books and records requirements
  22. § 808 KAR 10:340 - Registration exemption for certain limited offerings made exclusively to accredited investors
  23. § 808 KAR 10:350 - Internet advertising
  24. § 808 KAR 10:360 - Safe harbor for limited liability company membership interests
  25. § 808 KAR 10:370 - Securities offered on the Internet but not sold in Kentucky
  26. § 808 KAR 10:380 - Solicitations of interest prior to the filing of a registration statement
  27. § 808 KAR 10:390 - Confidentially disclosed documents
  28. § 808 KAR 10:400 - Examination fees and criteria
  29. § 808 KAR 10:430 - Required filing for oil, gas, and mineral securities offerings relying upon the registration exemption in KRS 292.410(1)(i)
  30. § 808 KAR 10:440 - Examples of dishonest or unethical practice for broker-dealers and agents
  31. § 808 KAR 10:450 - Examples of dishonest or unethical practice for investment advisers and investment adviser representatives
  32. § 808 KAR 10:460 - Request for approval of change in control
  33. § 808 KAR 10:480 - Books and records of firms employing issuer agents
  34. § 808 KAR 10:490 - Procedures for distributing and using funds from the Securities Fraud Prosecution and Prevention Fund
  35. § 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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