Kentucky Administrative Regulations › Title 808 - PUBLIC PROTECTION CABINET - DEPARTMENT OF FINANCIAL INSTITUTIONS › Chapter 10 - Securities › Section 808 KAR 10:010 - Forms for application, registration, notice filing, reporting and compliance

Current through Register Vol. 51, No. 1, July 1, 2024
RELATES TO:
				KRS
				292.327,
				292.330,
				292.331,
				292.332,
				292.333,
				292.334,
				292.350(2),
				292.360(2),
				292.370(2),
				292.380(2),
				292.410(1)(q),
				292.430(1),
				(2)
NECESSITY, FUNCTION, AND CONFORMITY:
				KRS
				292.327(1),
				292.331(1),
				(5), (6),
				292.332,
				292.333,
				292.334,
				292.350(2),
				292.360(2),
				292.370(2),
				292.410(1)(q),
				and
				292.430(1) and
				(2) require the commissioner to prescribe the
				required forms for registration or renewal registration, for a notice filing,
				for a registration exemption, and for withdrawal of registration. This
				administrative regulation establishes the required forms and incorporates by
				reference those forms.
Section 1.
(1) Pursuant to
			 KRS
			 292.331(1), Form BD, Uniform
			 Application for Broker-Dealer Registration, shall be completed to register as a
			 broker-dealer in Kentucky.
(2)
			 Pursuant to
			 KRS
			 292.331(1), Form U-4,
			 Uniform Application for Securities Industry Registration or Transfer, shall be
			 completed to:
(a) Register as an agent or an
			 investment adviser representative in Kentucky; or
(b) Transfer an agent's or representative's
			 registration to another broker-dealer, issuer, or investment adviser.
(3) Pursuant to
			 KRS
			 292.331(5), Form 33-e-1,
			 Application for Renewal of Issuer Agent Registration, shall be completed to
			 renew registration as an issuer agent in Kentucky.
(4) Pursuant to
			 KRS
			 292.331(1) and
			 292.332,
			 Form ADV, Uniform Application for Investment Adviser Registration, shall be
			 completed electronically to register or notice file as an investment adviser or
			 covered adviser in Kentucky.
(5)
			 Pursuant to
			 KRS
			 292.350(2),
			 292.360(2),
			 and
			 292.370(2),
			 Form U-1, Uniform Application to Register Securities, shall be completed to
			 register a security for sale in Kentucky by coordination, qualification, or
			 notification.
(6) Pursuant to
			 KRS
			 292.327(1), Form NF, Uniform
			 Investment Company Notice Filing, shall be completed to make a notice filing in
			 Kentucky.
(7) Pursuant to
			 KRS
			 292.327(2), Form D, Notice
			 of Exempt Offering of Securities, under Section 18(b)(4)(D) of the Securities
			 Act of 1933, shall be completed to file for an exemption or register an
			 offering under
			 808
			 KAR 10:280, Section 2(1).
(8) Pursuant to
			 KRS 292.430(1) and
			 (2), Form U-2, Uniform Consent to Service of
			 Process, shall be completed by an issuer required to file a consent to service
			 of process.
(9) Pursuant to
			 KRS
			 292.334(5), Form BDW,
			 Uniform Request for Broker-Dealer Withdrawal, shall be completed if a
			 broker-dealer withdraws his registration in Kentucky.
(10) Pursuant to
			 808
			 KAR 10:280, Form U-7, Small Company Offering
			 Registration, shall be completed by a company who:
(a) Meets the eligibility requirements
			 established in that administrative regulation; and
(b) Wants to register an offering pursuant to
			 that administrative regulation.
(11) Pursuant to
			 KRS
			 292.334(5), Form U5, Uniform
			 Termination Notice for Securities Industry Registration, shall be completed to
			 terminate registration as an agent or investment adviser representative.