Chapter 292 - SECURITIES (BLUE SKY LAW)
- Section 292.010 - [Repealed]
- Section 292.015 - [Repealed]
- Section 292.020 - [Repealed]
- Section 292.030 - [Repealed]
- Section 292.040 - [Repealed]
- Section 292.050 - [Repealed]
- Section 292.060 - [Repealed]
- Section 292.070 - [Repealed]
- Section 292.080 - [Repealed]
- Section 292.090 - [Repealed]
- Section 292.100 - [Repealed]
- Section 292.110 - [Repealed]
- Section 292.120 - [Repealed]
- Section 292.130 - [Repealed]
- Section 292.140 - [Repealed]
- Section 292.150 - [Repealed]
- Section 292.160 - [Repealed]
- Section 292.170 - [Repealed]
- Section 292.180 - [Repealed]
- Section 292.190 - [Repealed]
- Section 292.200 - [Repealed]
- Section 292.210 - [Repealed]
- Section 292.220 - [Repealed]
- Section 292.230 - [Repealed]
- Section 292.240 - [Repealed]
- Section 292.250 - [Repealed]
- Section 292.260 - [Repealed]
- Section 292.270 - [Repealed]
- Section 292.280 - [Repealed]
- Section 292.290 - [Repealed]
- Section 292.310 - Definitions for chapter
- Section 292.313 - Applicability of specified provisions to sales transactions
- Section 292.320 - Fraudulent and other prohibited practices
- Section 292.322 - Securities fraud prosecution and prevention fund
- Section 292.325 - Filing of prospectus, pamphlet, or other advertising communication by order of commissioner
- Section 292.327 - Filing of documents with respect to covered securities - Fees
- Section 292.330 - Registration of broker-dealers, agents, investment advisers, and investment adviser representatives
- Section 292.3301 - Definitions - Private fund adviser registration exemptions - Filings
- Section 292.331 - Application for registration - Contents - Conditions - Requirements
- Section 292.332 - Notice filing by covered adviser - Contents - Exemptions - Renewal
- Section 292.333 - Successor broker-dealers and investment advisers - New application for or amendment to registration or notice filing - Name change by registrant
- Section 292.334 - Notice of termination of employment or association - Termination of registration or application by commissioner - Temporary registration - Withdrawal of registration or notice filing
- Section 292.335 - Fees for initial or renewal registration or notice filing
- Section 292.336 - Recordkeeping and reporting requirements - Examination by commissioner - Administrative regulations - Central depository system for documents - Investment advisers - Required policies and procedures
- Section 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
- Section 292.338 - Investment adviser representatives - Continuing education requirements
- Section 292.340 - Registration of securities
- Section 292.350 - Registration by notification
- Section 292.360 - Registration by coordination
- Section 292.370 - Registration by qualification
- Section 292.380 - General provisions regarding registration of securities
- Section 292.390 - Denial, suspension, and revocation of registration
- Section 292.400 - Exempt securities
- Section 292.410 - Exempt transactions - Summary order denying or revoking exemption - Appeal
- Section 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)
- Section 292.412 - Registration of securities Internet Web site operators
- Section 292.415 - Claim of exemption - Effect of failure to file
- Section 292.420 - Burden of proving exemption
- Section 292.430 - Consent to service of process
- Section 292.440 - Misleading filings
- Section 292.450 - Unlawful representations concerning registration or exemption
- Section 292.460 - Investigations and subpoenas
- Section 292.470 - Remedies
- Section 292.480 - Civil liabilities
- Section 292.490 - Judicial review of orders
- Section 292.500 - Administration of chapter
- Section 292.510 - [Repealed]
- Section 292.520 - [Repealed]
- Section 292.530 - Purpose of chapter
- Section 292.540 - Effect of registrations under prior law
- Section 292.545 - Interest charges by broker or dealer
- Section 292.550 - Citation of chapter
- Section 292.560 - [Repealed]
- Section 292.570 - [Repealed]
- Section 292.580 - [Repealed]
- Section 292.590 - [Repealed]
- Section 292.600 - [Repealed]
- Section 292.610 - [Repealed]
- Section 292.620 - [Repealed]
- Section 292.630 - [Repealed]
- UNIFORM TOD SECURITY REGISTRATION ACT (§§ 292.6501 — 292.990)
- PENALTIES (§ 292.991)