Kentucky Revised Statutes
Chapter 292 - Securities (blue sky law)
292.6504 Origination of registration in beneficiary form.

Kentucky Revised Statutes

Chapter 292 - Securities (blue sky law)

292.010 Repealed, 1961.

292.015 Repealed, 1961.

292.020 Repealed, 1961.

292.030 Repealed, 1961.

292.040 Repealed, 1961.

292.050 Repealed, 1961.

292.060 Repealed, 1961.

292.070 Repealed, 1961.

292.080 Repealed, 1961.

292.090 Repealed, 1961.

292.100 Repealed, 1961.

292.110 Repealed, 1961.

292.120 Repealed, 1961.

292.130 Repealed, 1961.

292.140 Repealed, 1961.

292.150 Repealed, 1961.

292.160 Repealed, 1961.

292.170 Repealed, 1961.

292.180 Repealed, 1961.

292.190 Repealed, 1961.

292.200 Repealed, 1961.

292.210 Repealed, 1961.

292.220 Repealed, 1961.

292.230 Repealed, 1961.

292.240 Repealed, 1961.

292.250 Repealed, 1961.

292.260 Repealed, 1961.

292.270 Repealed, 1961.

292.280 Repealed, 1961.

292.290 Repealed, 1961.

292.310 Definitions for chapter.

292.313 Applicability of specified provisions to sales transactions.

292.320 Fraudulent and other prohibited practices.

292.322 Securities fraud prosecution and prevention fund.

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

292.327 Filing of documents with respect to covered securities -- Fees.

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

292.331 Application for registration -- Contents -- Conditions -- Requirements.

292.332 Notice filing by covered adviser -- Contents -- Exemptions -- Renewal.

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

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

292.335 Fees for initial or renewal registration or notice filing.

292.336 Recordkeeping and reporting requirements -- Examination by commissioner -- Administrative regulations -- Central depository system for documents. (Effective until January 1, 2023).

292.336 Recordkeeping and reporting requirements -- Examination by commissioner -- Administrative regulations -- Central depository system for documents -- Investment advisers -- Required policies and procedures. (Effective January 1, 2023).

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.

292.338 Investment adviser representatives -- Continuing education requirements. (Effective January 1, 2023).

292.340 Registration of securities.

292.350 Registration by notification.

292.360 Registration by coordination.

292.370 Registration by qualification.

292.380 General provisions regarding registration of securities.

292.390 Denial, suspension, and revocation of registration.

292.400 Exempt securities.

292.410 Exempt transactions -- Summary order denying or revoking exemption -- Appeal.

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).

292.412 Registration of securities Internet Web site operators.

292.415 Claim of exemption -- Effect of failure to file.

292.420 Burden of proving exemption.

292.430 Consent to service of process.

292.440 Misleading filings.

292.450 Unlawful representations concerning registration or exemption.

292.460 Investigations and subpoenas.

292.470 Remedies.

292.480 Civil liabilities.

292.490 Judicial review of orders.

292.500 Administration of chapter.

292.510 Repealed, 1982.

292.520 Repealed, 1982.

292.530 Purpose of chapter.

292.540 Effect of registrations under prior law.

292.545 Interest charges by broker or dealer.

292.550 Citation of chapter.

292.560 Repealed, 1986.

292.570 Repealed, 1986.

292.580 Repealed, 1986.

292.590 Repealed, 1986.

292.600 Repealed, 1986.

292.610 Repealed, 1986.

292.620 Repealed, 1986.

292.630 Repealed, 1986.

292.6501 Definitions for KRS 292.6501 to 292.6512.

292.6502 Registration in beneficiary form -- Sole or joint tenancy ownership.

292.6503 Registration in beneficiary form -- Applicable law.

292.6504 Origination of registration in beneficiary form.

292.6505 Form of registration in beneficiary form.

292.6506 Effect of registration in beneficiary form.

292.6507 Ownership on death of owner.

292.6508 Protection of registering entity.

292.6509 Nontestamentary transfer on death.

292.6510 Terms, conditions, and forms for registration.

292.6511 Short title of KRS 292.6501 to 292.6512 -- Construction of KRS 292.6501 to 292.6512.

292.6512 Application of KRS 292.6501 to 292.6512.

292.990 Repealed, 1960.

292.991 Penalties.