Senate Bill 298

Actions
Last Action 04/08/22: signed by Governor (Acts Ch. 145)
Title AN ACT relating to persons regulated under the Securities Act of Kentucky.
Bill Documents Acts Chapter 145
Current/Final
Introduced
Bill Request Number 1991
Sponsor J. Carpenter
Summary of Original Version Amend KRS 292.336 to require investment advisers to establish written procedures relating to a business continuity and succession plan; require investment advisers to establish and implement written physical security and cybersecurity policies and procedures; create a new section of KRS Chapter 292 to establish continuing education requirements for investment adviser representatives; EFFECTIVE January 1, 2023.
Index Headings of Original Version Effective Dates, Delayed - Securities, regulated persons, requirements, January 1, 2023
Licensing - Securities, regulated persons, requirements
Securities - Investment adviser representatives, continuing education
Securities - Investment advisers, business continuity planning
Securities - Investment advisers, physical security and cybersecurity policies
Administrative Regulations and Proceedings - Department of Financial Institutions, investment adviser representatives, continuing education
Public Protection - Securities, investment adviser representatives, continuing education
Public Protection - Securities, investment advisers, policies and procedures
Votes Vote History

Actions

Top
03/02/22
  • introduced in Senate
  • to Committee on Committees (S)
03/03/22
  • to Banking & Insurance (S)
03/15/22
  • reported favorably, 1st reading, to Consent Calendar
03/16/22
  • 2nd reading, to Rules as a consent bill
03/17/22
  • posted for passage in the Consent Orders of the Day for Friday, March 18, 2022
03/18/22
  • 3rd reading, passed 34-0
  • received in House
  • to Committee on Committees (H)
03/22/22
  • to Banking & Insurance (H)
03/23/22
  • reported favorably, 1st reading, to Calendar
03/24/22
  • 2nd reading, to Rules
  • posted for passage in the Regular Orders of the Day for Friday, March 25, 2022
03/29/22
  • taken from the Orders of the Day
  • returned to Rules
03/30/22
  • posted for passage in the Consent Orders of the Day for Wednesday, March 30, 2022
  • 3rd reading, passed 97-1
  • received in Senate
  • enrolled, signed by President of the Senate
  • enrolled, signed by Speaker of the House
  • delivered to Governor
04/08/22
  • signed by Governor (Acts Ch. 145)


Last updated: 5/25/2022 2:58 PM (EDT)
To receive notice when the record is updated follow @LRCTweetBot.