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Ky.gov An Official Website of the Commonwealth of Kentucky

Public Protection Cabinet

Securities Examinations

The Compliance Branch of the Department of Financial Institutions (DFI) Division of Securities conducts routine and for-cause examinations of broker-dealers, investment advisers, issuers and their agents operating in Kentucky. For information or questions related to securities examinations, contact Anna Dennis at 502-782-9061.
 
Compliance Presentations
 
Securities examiners are available to make presentations related to broker-dealer and/or investment adviser compliance with securities laws. If you would like a member of DFI's staff to be a presenter at your compliance meeting, contact Anna Dennis at 502-782-9061. This is a free service offered by DFI's Securities Division.