Advisory Opinions

Advisory Opinions by Year

ID               DESCRIPTION                                                                 DATE APPROVED

08-01        Order Vacating Order Clarifying Definition of "Investment Adviser" Under the Kentucky Securities Act in Light of Section 203(B)(3) of the Investment Advisers Act of 1940, as Amended [PDF 99KB]                                                      April 2, 2008

08-02         Notice of Regulatory Position Regarding the Temporary Agent Transfer Process [PDF 61KB]                                                                     Feb. 20, 2008

08-03          Notice of Regulatory Position Regarding Disclosure Statement for Insurance Agents [PDF 59KB]                                                                      Feb. 20, 2008

ID               DESCRIPTION                                                                 DATE APPROVED

07-01        Order Governing Participation in the Establishment and Implementation of the Nationwide Mortgage Licensing System for Mortgage Loan Brokers, Loan Companies, Loan Officers and Originators [PDF 459KB]                                             Sept. 6, 2007
07-02        Order Governing Registrations Made By Investment Advisers Through the Investment Adviser Registration Depository [PDF 363KB]                  Sept. 6, 2007
07-03        Order Vacating Order Clarifying Registration Requirements [PDF 51.5KB]                                                                                     Jan. 8, 2007

ID               DESCRIPTION                                                                 DATE APPROVED

06-01        Switch Disclosure [PDF 67KB]                                        2006
06-02        Offering Document Guidelines [PDF 26.4KB]                     Rev. February 2006
06-03        Order In the Matter of Registration Exemption for Certain Canadian Broker-Dealers and Agents [PDF 219KB]                                                                                                  Oct. 12, 2006

ID                DESCRIPTION                                                                 DATE APPROVED

05-01         Persons Presumed to be Broker Dealers [PDF 12.3KB]       WITHDRAWN
05-02         Equity-Indexed Annuities [PDF 64.5KB]                           Dec. 5, 2005

ID                DESCRIPTION                                                                 DATE APPROVED

03-01        Order Clarifying the Registration Requirements of All Issuer Agents VACATED [PDF 2.16MB]                                                                                 April 1, 2003

98-01         Order Regarding the Requirement of Full Disclosure in Limited Offerings [PDF 377KB]                                                                                      July 13, 1998
    

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