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Kentucky Revised Statutes

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Statutes Last Updated July 23, 2012

Includes Enactments through the 2012 Extraordinary Session
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KRS Chapter 292.00

  • .010   Repealed, effective January 1, 1961.

  • .015   Repealed, effective January 1, 1961.

  • .020   Repealed, effective January 1, 1961.

  • .030   Repealed, effective January 1, 1961.

  • .040   Repealed, effective January 1, 1961.

  • .050   Repealed, effective January 1, 1961.

  • .060   Repealed, effective January 1, 1961.

  • .070   Repealed, effective January 1, 1961.

  • .080   Repealed, effective January 1, 1961.

  • .090   Repealed, effective January 1, 1961.

  • .100   Repealed, effective January 1, 1961.

  • .110   Repealed, effective January 1, 1961.

  • .120   Repealed, effective January 1, 1961.

  • .130   Repealed, effective January 1, 1961.

  • .140   Repealed, effective January 1, 1961.

  • .150   Repealed, effective January 1, 1961.

  • .160   Repealed, effective January 1, 1961.

  • .170   Repealed, effective January 1, 1961.

  • .180   Repealed, effective January 1, 1961.

  • .190   Repealed, effective January 1, 1961.

  • .200   Repealed, effective January 1, 1961.

  • .210   Repealed, effective January 1, 1961.

  • .220   Repealed, effective January 1, 1961.

  • .230   Repealed, effective January 1, 1961.

  • .240   Repealed, effective January 1, 1961.

  • .250   Repealed, effective January 1, 1961.

  • .260   Repealed, effective January 1, 1961.

  • .270   Repealed, effective January 1, 1961.

  • .280   Repealed, effective January 1, 1961.

  • .290   Repealed, effective January 1, 1961.

  • .310   Definitions for chapter.

  • .313   Applicability of specified provisions to sales transactions.

  • .320   Fraudulent and other prohibited practices.

  • .322   Securities fraud prosecution and prevention fund.

  • .325   Filing of prospectus, pamphlet, or other advertising communication by order of commissioner.

  • .327   Filing of documents with respect to covered securities -- Fees.

  • .330   Registration of broker-dealers, agents, investment advisers, and investment adviser representatives.

  • .331   Application for registration -- Contents -- Conditions -- Requirements.

  • .332   Notice filing by covered adviser -- Contents -- Exemptions -- Renewal.

  • .333   Successor broker-dealers and investment advisers -- New application for or amendment to registration or notice filing -- Name change by registrant.

  • .334   Notice of termination of employment or association -- Termination of registration or application by commissioner -- Temporary registration -- Withdrawal of registration or notice filing.

  • .335   Fees for initial or renewal registration or notice filing.

  • .336   Recordkeeping and reporting requirements -- Examination by commissioner -- Administrative regulations -- Central depository system for documents.

  • .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.

  • .340   Registration of securities.

  • .350   Registration by notification.

  • .360   Registration by coordination.

  • .370   Registration by qualification.

  • .380   General provisions regarding registration of securities.

  • .390   Denial, suspension, and revocation of registration.

  • .400   Exempt securities.  

  • .410   Exempt transactions -- Summary order denying or revoking exemption -- Appeal.

  • .415   Claim of exemption -- Effect of failure to file.

  • .420   Burden of proving exemption.

  • .430   Consent to service of process.

  • .440   Misleading filings.

  • .450   Unlawful representations concerning registration or exemption.

  • .460   Investigations and subpoenas.

  • .470   Remedies.

  • .480   Civil liabilities.

  • .490   Judicial review of orders.

  • .500   Administration of chapter.

  • .510   Repealed, 1982.

  • .520   Repealed, 1982.

  • .530   Purpose of chapter.

  • .540   Effect of registrations under prior law.

  • .545   Interest charges by broker or dealer.

  • .550   Citation of chapter.

  • .560   Repealed, 1986.

  • .570   Repealed, 1986.

  • .580   Repealed, 1986.

  • .590   Repealed, 1986.

  • .600   Repealed, 1986.

  • .610   Repealed, 1986.

  • .620   Repealed, 1986.

  • .630   Repealed, 1986.

    • Uniform TOD Security Registration Act

  • .6501   Definitions for KRS 292.6501 to 292.6512.

  • .6502   Registration in beneficiary form -- Sole or joint tenancy ownership.

  • .6503   Registration in beneficiary form -- Applicable law.

  • .6504   Origination of registration in beneficiary form.

  • .6505   Form of registration in beneficiary form.

  • .6506   Effect of registration in beneficiary form.

  • .6507   Ownership on death of owner.

  • .6508   Protection of registering entity.

  • .6509   Nontestamentary transfer on death.

  • .6510   Terms, conditions, and forms for registration.

  • .6511   Short title of KRS 292.6501 to 292.6512 -- Construction of KRS 292.6501 to 292.6512.

  • .6512   Application of KRS 292.6501 to 292.6512.

  • .990   Repealed, 1960.

    • Penalties

  • .991   Penalties.

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