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Chapter 010

Title 808 | Chapter 010 - Securities

Regulation 010 — Forms for application, registration, notice filing, reporting and compliance.
Current
Last Updated: 12/15/2021
Regulation 015 — Not available.
Inactive
Last Updated: 12/15/2021
Regulation 020 — Capital, records and reporting requirements of broker-dealers.
Current
Last Updated: 12/15/2021
Regulation 030 — Conduct of broker-dealers, agents, and employees; investment advisers and representatives.
Current
Last Updated: 12/15/2021
Regulation 040 — Examples of dishonest or unethical practice
Repealed
Last Updated: 12/15/2021
Regulation 041 — Repeal of 808 KAR 10:040
Inactive
Last Updated: 12/15/2021
Regulation 042 — Use of senior certifications and designations.
Current
Last Updated: 12/15/2021
Regulation 050 — Application withdrawal.
Current
Last Updated: 12/15/2021
Regulation 060 — Abandoned applications.
Current
Last Updated: 12/15/2021
Regulation 070 — Not available.
Inactive
Last Updated: 12/15/2021
Regulation 080 — Guidelines for issuers
Repealed
Last Updated: 12/15/2021
Regulation 081 — Repeal of 808 KAR 10:080, 300 and 310
Withdrawn
Last Updated: 12/15/2021
Regulation 082 — Repeal of 808 KAR 10:080 and 10:310
Inactive
Last Updated: 12/15/2021
Regulation 090 — Issuer's reports.
Current
Last Updated: 12/15/2021
Regulation 100 — Not available.
Inactive
Last Updated: 12/15/2021
Regulation 110 — Records of investment advisers.
Current
Last Updated: 12/15/2021
Regulation 120 — Registration files.
Current
Last Updated: 12/15/2021
Regulation 130 — Amendments to registration statement.
Current
Last Updated: 12/15/2021
Regulation 140 — Registration statements to be current
Repealed
Last Updated: 12/15/2021
Regulation 141 — Repeal of 808 KAR 10:140, 10:190, 10:220, 10:230, 10:270
Inactive
Last Updated: 12/15/2021
Regulation 150 — Registration exemptions.
Current
Last Updated: 12/15/2021
Regulation 160 — Definitions for 808 KAR Chapter 10.
Current
Last Updated: 12/15/2021
Regulation 170 — Exemption claims from securities registration; form.
Current
Last Updated: 12/15/2021
Regulation 190 — Securities registration exemptions for certain business transactions
Repealed
Last Updated: 12/15/2021
Regulation 200 — Investment advisers' minimum liquid capitalization; bond.
Current
Last Updated: 12/15/2021
Regulation 210 — Registration exemptions - Federal Regulation D.
Current
Last Updated: 12/15/2021
Regulation 220 — Registration exemptions - NASDAQ/NMS Exemption
Repealed
Last Updated: 12/15/2021
Regulation 225 — Administrative hearing procedures.
Current
Last Updated: 12/15/2021
Regulation 230 — Fee payment KRS 292.380(5)
Repealed
Last Updated: 12/15/2021
Regulation 240 — Registration exemptions - sale of business.
Current
Last Updated: 12/15/2021
Regulation 260 — Examination requirement for individuals advising the public on securities, broker-dealers, and agents.
Current
Last Updated: 4/23/2024
Regulation 260REG — Examination requirement for individuals advising the public on securities, broker-dealers, and agents.
Proposed
Last Updated: 4/23/2024
Regulation 270 — Registration exemption for securities listed on Chicago Bd. Options Exchange
Repealed
Last Updated: 12/15/2021
Regulation 280 — Qualifications, eligibility, and restrictions on the use of Form U-7, Small Corporate Offering Registration.
Current
Last Updated: 12/15/2021
Regulation 290 — Assistant representative
Repealed
Last Updated: 12/15/2021
Regulation 291 — Repeal of 808 KAR 10:290
Inactive
Last Updated: 12/15/2021
Regulation 300 — Registration exemptions - pension plans.
Current
Last Updated: 12/15/2021
Regulation 301 — Repeal of 808 KAR 10:300
Withdrawn
Last Updated: 12/15/2021
Regulation 310 — Broker-dealer agent de minimis rules
Repealed
Last Updated: 12/15/2021
Regulation 320 — Broker-dealer books and records requirements.
Current
Last Updated: 12/15/2021
Regulation 330 — Notice filing requirements for covered advisers
Repealed
Last Updated: 12/15/2021
Regulation 331 — Repeal of 808 KAR 10:330
Inactive
Last Updated: 12/15/2021
Regulation 340 — Registration exemption for certain limited offerings made exclusively to accredited investors.
Current
Last Updated: 12/15/2021
Regulation 350 — Internet advertising.
Current
Last Updated: 12/15/2021
Regulation 360 — Safe harbor for limited liability company membership interests.
Current
Last Updated: 12/15/2021
Regulation 370 — Securities offered on the Internet but not sold in Kentucky.
Current
Last Updated: 12/15/2021
Regulation 380 — Solicitations of interest prior to the filing of a registration statement.
Current
Last Updated: 12/15/2021
Regulation 390 — Confidentially disclosed documents.
Current
Last Updated: 12/15/2021
Regulation 400 — Examination fees and criteria.
Current
Last Updated: 12/15/2021
Regulation 410 — Life settlement investments
Expired
Last Updated: 12/15/2021
Regulation 420 — Not available.
Inactive
Last Updated: 12/15/2021
Regulation 430 — Required filing for oil, gas, and mineral securities offerings relying upon the registration exemption in KRS 292.410(1)(i).
Current
Last Updated: 12/15/2021
Regulation 440 — Examples of dishonest or unethical practice for broker-dealers and agents.
Current
Last Updated: 8/4/2023
Regulation 450 — Examples of dishonest or unethical practice for investment advisers and investment adviser representatives.
Current
Last Updated: 8/4/2023
Regulation 460 — Request for Approval of Change in Control.
Current
Last Updated: 12/15/2021
Regulation 480 — Books and records of firms employing issuer agents.
Current
Last Updated: 12/15/2021
Regulation 490 — Procedures for distributing and using funds from the Securities Fraud Prosecution and Prevention Fund.
Current
Last Updated: 12/15/2021
Regulation 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.
Expired
Last Updated: 11/9/2022
Regulation 501REG — 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.
Proposed
Last Updated: 1/29/2024

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