The Securities Division of the Kentucky Department of Financial Institutions (DFI)
regulates securities activities in Kentucky. The industries and individuals for which the Securities Division has oversight include:
- State-licensed or registered securities
- Broker-dealers and agents
- Investment advisers and investment adviser representatives
- Issuer agents
Besides registering securities offerings and the people who sell them, the Securities Division
examines firms and individuals and investigates
complaints and suspicious activity. The division has three branches: Compliance, Enforcement, and Licensing and Registration. The division also provides educational materials and outreach to protect consumers from financial fraud.
Compliance Branch
The Compliance Branch conducts on-site examinations of broker dealers, agents and investment advisers. Examiners in this branch perform hundreds of examinations annually across Kentucky to ensure that securities firms and entities are in compliance with the Securities Act of Kentucky
KRS 292, also known as the Blue Sky laws.
Enforcement Branch
The Enforcement Branch works closely with the Office of Legal Services to ensure that the state's securities laws are enforced through administrative or court actions.
Licensing and Registration Branch
The Licensing and Registration Branch licenses professionals who sell securities, and it registers securities offered and sold in Kentucky.
This resource is free for the use of entities and individuals regulated by DFI. If you need an alternate format, or if you have any questions, contact Public Information Officer
Kelly May at 502-573-3390, ext. 252.
"DFI Investor Resources" lists free brochures and booklets on investing topics that are available to consumers. This PDF file is designed to yield three brochure-width fliers per one 8 ½-by-11-inch sheet of paper, printed on both front and back. The copies may be printed at any local print shop.