Chapter 292. Securities (Blue Sky Law)
- KY ST T. XXV, Ch. 292, Refs & Annos
- 292.010 Definitions—Repealed
- 292.015 Division of Securities in Department of Banking—Repealed
- 292.020 Exempt Securities—Repealed
- 292.030 Exempt Transactions—Repealed
- 292.040 Securities Required to be Registered; Rights and Conversions; Record of Registration—Repealed
- 292.050 Registration by Notification; Securities Entitled to—Repealed
- 292.060 Registration by Notification; Procedure; Information Required; Fees—Repealed
- 292.070 Registration by Qualification; Procedure; Information Required; Fees—Repealed
- 292.080 Registration of Outstanding Securities for Resale or for Trading Purposes—Repealed
- 292.090 Consent to Service of Process—Repealed
- 292.100 Revocation and Suspension of Issuer's Registration; Examination of Issuer—Repealed
- 292.110 Issuer of Securities to File Annual Report; How Discontinued—Repealed
- 292.120 Registration of Dealers and Salesmen; Information Required; Renewals; Fees—Repealed
- 292.130 Commission for Sale of Securities—Repealed
- 292.140 Refusal, Revocation and Suspension of Dealer's or Agent's Registration; Procedure; Examination of Dealer's Books; Reports; Hearing—Repealed
- 292.150 Director to Prescribe Forms, Rules and Regulations—Repealed
- 292.160 Director to Examine Applicants; Expense—Repealed
- 292.170 Examination of Registrants; when and How Made; Expense—Repealed
- 292.180 Burden of Proving Exemption—Repealed
- 292.190 Certificate of Director, Evidentiary Value of—Repealed
- 292.200 Escrow Agreements; Impounding of Funds—Repealed
- 292.210 Fraudulent or Deceitful Sales—Repealed
- 292.220 Remedies for Unauthorized Sales—Repealed
- 292.230 Appeals—Repealed
- 292.240 Prohibited Advertisements—Repealed
- 292.250 Misleading Advertisements; Liabilities; Limitation of Action—Repealed
- 292.260 Information and Records Open to Public Inspection—Repealed
- 292.270 Warning to Public—Repealed
- 292.280 Disposition of Fees—Repealed
- 292.290 Effect of Chapter on Corporations and on Prior Interests—Repealed
- 292.310 Definitions for Chapter
- 292.313 Applicability of Specified Provisions to Sales Transactions
- 292.320 Fraudulent and Other Prohibited Practices
- 292.322 Securities Fraud Prosecution and Prevention Fund
- 292.325 Filing of Prospectus, Pamphlet, or Other Advertising Communication by Order of Commissioner
- 292.327 Filing of Documents with Respect to Covered Securities; Fees
- 292.330 Registration of Broker–Dealers, Agents, Investment Advisers, and Investment Adviser Representatives
- 292.331 Application for Registration; Contents; Conditions; Requirements
- 292.332 Notice Filing by Covered Adviser; Contents; Exemptions; Renewal
- 292.333 Successor Broker–Dealers and Investment Advisers; New Application for or Amendment to Registration or Notice Filing; Name Change by Registrant
- 292.334 Notice of Termination of Employment or Association; Termination of Registration or Application by Commissioner; Temporary Registration; Withdrawal of Registration or Notice Filing
- 292.335 Fees for Initial or Renewal Registration or Notice Filing
- 292.336 Recordkeeping and Reporting Requirements; Examination by Commissioner; Administrative Regulations; Central Depository System for Documents; Investment Advisers; Required Policies and Procedures
- 292.337 Grounds for Denial, Suspension, Limitation, or Revocation of Registration and for Disciplinary Action; Summary Order; Emergency Hearing; Order in Accordance with KRS Chapter 13B
- 292.338 Investment Adviser Representatives; Continuing Education Requirements
- 292.340 Registration of Securities
- 292.350 Registration by Notification
- 292.360 Registration by Coordination
- 292.370 Registration by Qualification
- 292.380 General Provisions Regarding Registration of Securities
- 292.390 Denial, Suspension, and Revocation of Registration
- 292.400 Exempt Securities
- 292.410 Exempt Transactions; Summary Order Denying or Revoking Exemption; Appeal
- 292.411 Exemption from KRS 292.330 to 292.390 for Offer or Sale of Security After January 1, 2015; Conditions; Application of KRS 292.410(3) and (4)
- 292.412 Registration of Securities Internet Web Site Operators
- 292.415 Claim of Exemption; Effect of Failure to File
- 292.420 Burden of Proving Exemption
- 292.430 Consent to Service of Process
- 292.440 Misleading Filings
- 292.450 Unlawful Representations Concerning Registration or Exemption
- 292.460 Investigations and Subpoenas
- 292.470 Remedies
- 292.480 Civil Liabilities
- 292.490 Judicial Review of Orders
- 292.500 Administration of Chapter
- 292.510 Advisory Committee—Repealed
- 292.520 Committee Functions—Repealed
- 292.530 Purpose of Chapter
- 292.540 Effect of Registrations Under Prior Law
- 292.545 Interest Charges by Broker or Dealer
- 292.550 Citation of Chapter
- 292.560 Definitions—Repealed
- 292.570 Notice; Hearing; Stock Ownership Limitation; Information to be Filed Prior to Making Takeover Bid—Repealed
- 292.580 Hearing—Repealed
- 292.590 Restrictions of Takeover Bids—Repealed
- 292.600 Copy of Filing to be Furnished to Appropriate Regulatory Body—Repealed
- 292.610 Applicability of Liabilities, Penalties, and Remedies—Repealed
- 292.620 Rules and Regulations—Repealed
- 292.630 Exclusions—Repealed
- Uniform Tod Security Registration Act
- Penalties