Title 808. Public Protection Cabinet - Department of Financial Institutions
Chapter 1. Administration
Chapter 3. Credit Unions
Chapter 6. Consumer Loans
Chapter 10. Securities
- 808 KAR 10:010 Forms For Application, Registration, Notice Filing, Reporting and Compliance
- 808 KAR 10:020 Capital, Records and Reporting Requirements of Broker-Dealers
- 808 KAR 10:030 Conduct of Broker-Dealers, Agents, and Employees; Investment Advisers and Representatives
- 808 KAR 10:042 Use of Senior Certifications and Designations
- 808 KAR 10:050 Application Withdrawal
- 808 KAR 10:060 Abandoned Applications
- 808 KAR 10:090 Issuer's Reports
- 808 KAR 10:110 Records of Investment Advisers
- 808 KAR 10:120 Registration Files
- 808 KAR 10:130 Amendments to Registration Statement
- 808 KAR 10:150 Registration Exemptions
- 808 KAR 10:160 Definitions For 808 Kar Chapter 10
- 808 KAR 10:170 Exemption Claims From Securities Registration; Form
- 808 KAR 10:200 Investment Advisers' Minimum Liquid Capitalization; Bond
- 808 KAR 10:210 Registration Exemptions - Federal Regulation D
- 808 KAR 10:225 Administrative Hearing Procedures
- 808 KAR 10:240 Registration Exemptions - Sale of Business
- 808 KAR 10:260 Examination Requirement For Individuals Advising the Public On Securities, Broker-Dealers, and Agents
- 808 KAR 10:280 Qualifications, Eligibility, and Restrictions On the Use of Form U-7, Small Corporate Offering Registration
- 808 KAR 10:300 Registration Exemptions - Pension Plans
- 808 KAR 10:320 Broker-Dealer Books and Records Requirements
- 808 KAR 10:340 Registration Exemption For Certain Limited Offerings Made Exclusively to Accredited Investors
- 808 KAR 10:350 Internet Advertising
- 808 KAR 10:360 Safe Harbor For Limited Liability Company Membership Interests
- 808 KAR 10:370 Securities Offered On the Internet But Not Sold In Kentucky
- 808 KAR 10:380 Solicitations of Interest Prior to the Filing of a Registration Statement
- 808 KAR 10:390 Confidentially Disclosed Documents
- 808 KAR 10:400 Examination Fees and Criteria
- 808 KAR 10:430 Required Filing For Oil, Gas, and Mineral Securities Offerings Relying Upon the Registration Exemption In Krs 292.410(1)(i)
- 808 KAR 10:440 Examples of Dishonest Or Unethical Practice For Broker-Dealers and Agents
- 808 KAR 10:450 Examples of Dishonest Or Unethical Practice For Investment Advisers and Investment Adviser Representatives
- 808 KAR 10:460 Request For Approval of Change In Control
- 808 KAR 10:480 Books and Records of Firms Employing Issuer Agents
- 808 KAR 10:490 Procedures For Distributing and Using Funds From the Securities Fraud Prosecution and Prevention Fund
- 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
Chapter 12. Mortgage Loan Companies and Mortgage Loan Brokers
Chapter 14. Administrative Hearings
Chapter 16. Student Education Loan Servicing