TITLE 808
PUBLIC PROTECTION CABINET DEPARTMENT OF FINANCIAL INSTITUTIONS
This page was produced on 5/2/2013 at 9:26:25 AM [EST]
- 020 Excess funds transactions
- 050 Retention of records
- 060 Automated teller machines
- 080 Investments in bank service corporations by state-chartered banks
- 090 Stay of notice of intention to remove from office
- 100 Information to be furnished and maintained by banks
- 110 Investment of bank funds
- 120 Loans secured by government obligations
- 130 Loan production offices
- 140 Bank annual assessment fee
- 150 Establishment and relocation of bank branches or offices and establishment of loan production offices
- 020 Record retention schedule
- 030 Conduct of examination of records
- 050 Conduct
- 060 Investment authority of state-chartered credit unions
- 010 Conduct in soliciting business
- 020 Restrictions
- 030 Advertising
- 040 Retention of records; examination
- 095 Place of business; hours
- 105 Records required
- 115 Note reduced to judgment; records
- 120 Sale of mortgaged property; records
- 125 Monetary inducements prohibited
- 030 State-chartered savings and loan associations; operating parity
- 040 Acquisition of savings and loan associations
- 010 Books and records to ensure that check cashers do not violate the law against multiple transactions in excessive amounts by a customer
- 020 Establishment of examination fees
- 030 Administrative hearing procedures
- 040 Limitation on electronic fund transfers from customer accounts
- 010 Forms for application, registration, notice filing, reporting and compliance
- 020 Capital, records and reporting requirements of broker-dealers
- 030 Conduct of broker-dealers, agents, and employees; investment advisers and representatives
- 042 Use of Senior Certifications and Designations
- 050 Application withdrawal
- 060 Abandoned applications
- 080 Guidelines for issuers
- 090 Issuer's reports
- 110 Records of investment advisers
- 120 Registration files
- 130 Amendments to registration statement
- 150 Registration exemptions
- 160 Definitions for 808 KAR Chapter 10
- 170 Exemption claims from securities registration; form
- 200 Investment advisers' minimum liquid capitalization; bond
- 210 Registration exemptions - Federal Regulation D
- 225 Administrative hearing procedures
- 240 Registration exemptions - sale of business
- 260 Examination requirement for individuals advising the public on securities, broker-dealers, and agents
- 280 Qualifications, eligibility, and restrictions on the use of Form U-7, Small Corporate Offering Registration
- 300 Registration exemptions - pension plans
- 310 Broker-dealer agent de minimis rules
- 320 Broker-dealer books and records requirements
- 340 Registration exemption for certain limited offerings made exclusively to accredited investors
- 350 Internet advertising
- 360 Safe harbor for limited liability company membership interests
- 370 Securities offered on the Internet but not sold in Kentucky
- 380 Solicitations of interest prior to the filing of a registration statement
- 390 Confidentially disclosed documents
- 400 Examination fees and criteria
- 410 Life settlement investments
- 430 Required filing for oil, gas, and mineral securities offerings relying upon the registration exemption in KRS 292.410(1)(i)
- 440 Examples of dishonest or unethical practice for broker-dealers and agents
- 450 Examples of dishonest or unethical practice for investment advisers and investment adviser representatives
- 460 Request for approval of change in control
- 480 Books and records of firms employing issuer agents.
- 490 Procedures for distributing and using funds from the Securities Fraud Prosecution and Prevention Fund
Chapter 11 Multibank Companies
Chapter 12 Mortgage Loan Companies and Mortgage Loan Brokers
- 002 Definitions for 808 KAR Chapter 12
- 020 Claims of exemption
- 021 Licensing and registration
- 022 Examination and investigation fees
- 023 Recordkeeping
- 024 Change of address, name, control, or agent for service of process
- 026 Procedures for distributing and using funds from the mortgage fraud prosecution fund
- 030 KRS Chapter 286.8, administrative hearing procedures
- 050 Regulation of charges for services rendered in processing and closing real estate loans to consumers