TITLE 808
ENVIRONMENTAL AND PUBLIC PROTECTION CABINET DEPARTMENT OF PUBLIC PROTECTION OFFICE OF FINANCIAL INSTITUTIONS
This page was produced on 7/11/2008 at 1:49:37 PM [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
- 040 Examples of dishonest or unethical practice
- 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 Viatical settlement interests
- 430 Required filing for oil, gas, and mineral securities offerings relying upon the registration exemption in KRS 292.410(1)(i)
Chapter 11 Multibank Companies
Chapter 12 Mortgage Loan Companies and Mortgage Loan Brokers
- 002 Definitions for 808 KAR Chapter 12
- 020 Claims of exemption
- 030 KRS Chapter 286.8, administrative hearing procedures
- 050 Regulation of charges for services rendered in processing and closing real estate loans to consumers
- 065 Disclosure for lender/broker making less than five (5) loans per year
- 075 Requirements of mortgage broker residence office
- 085 Registration of mortgage loan officer/broker
- 095 Continuing education requirements
KAR | Legislature Home Page