22RS SB 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

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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)