Title 808 | Chapter 010 | Regulation 320
808 KAR 10:320.Broker-dealer books and records requirements.
Section 1.
(1)
Pursuant to KRS 292.336(1)(a), a broker-dealer shall:(a)
Meet the recordkeeping requirements established in 15 U.S.C. 78q; and(b)
Maintain his books and records in accordance with the applicable federal regulations, including 17 C.F.R. 240.17a-3 and 17 C.F.R. 240.17a-4.(2)
The requirements established in subsection (1) of this section shall apply to a broker-dealer subject to the provisions of KRS Chapter 292.(3)
The commissioner may upon application for good cause shown relieve a broker-dealer of compliance with the requirements established in subsection (1) of this section if the action is necessary or appropriate in the public interest; or for the protection of an investor.HISTORY: (24 Ky.R. 2264; Am. 25 Ky.R. 95; eff. 6-25-98; TAm 11-7-2012.)
808 KAR 10:320.Broker-dealer books and records requirements.
Section 1.
(1)
Pursuant to KRS 292.336(1)(a), a broker-dealer shall:(a)
Meet the recordkeeping requirements established in 15 U.S.C. 78q; and(b)
Maintain his books and records in accordance with the applicable federal regulations, including 17 C.F.R. 240.17a-3 and 17 C.F.R. 240.17a-4.(2)
The requirements established in subsection (1) of this section shall apply to a broker-dealer subject to the provisions of KRS Chapter 292.(3)
The commissioner may upon application for good cause shown relieve a broker-dealer of compliance with the requirements established in subsection (1) of this section if the action is necessary or appropriate in the public interest; or for the protection of an investor.HISTORY: (24 Ky.R. 2264; Am. 25 Ky.R. 95; eff. 6-25-98; TAm 11-7-2012.)