PUBLIC PROTECTION
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DEPARTMENT OF FINANCIAL INSTITUTIONS
Forms and Documents

If you would like to receive DFI press releases, please contact Tasha Stewart, Information Officer, by calling (502) 782-8818 or emailing tasha.stewart@ky.gov. 


State-Chartered Banks
State-Chartered Credit Unions
Trust Companies
Non-Depository - Related Documents
Securities - Related Documents
Records Retention
Orders of the Commissioner & Other Opinions
KRS 292.411 Dollar Limitations Adjustment Order 4272021    - 125K
2021.02.19 Accounts Closed Using Electronic Payments That Are Treated as Cash Payments    - 145K
2020-08-12 Investment Adviser Registration Exemption - Order of the Commissioner    - 2M
Updated Non-Depository COVID Guidance    - 272K
2020-03-18 Commissioner’s Guidance for Depository Institutions – COVID 19    - 438K
2020-03-24 Commissioner's Guidance on Relief for Registrants - COVID-19    - 136K
2020-03-24 Commissioner's Guidance for Non-Depository Institutions - COVID-19    - 270K
2019-10-25 Notice of the Commissioner-- Louisa Community Bank    - 86K
2019-10-25 Commissioner's Tender of Appointment as Receiver-- Louisa Community Bank    - 75K
2019-10-15 Order Governing the Implementation of the NMLS for Consumer Loan Compaines    - 88K
2019-10-15 Order Governing the Implement of NMLS for Check Cashers and Def Deposit Service Business    - 99K
2019-06-14 Order of Commissioner-- Mortgage Underwriters and Processors    - 261K
2018-07-23 Order Regarding Tempus Inc    - 206K
2018-07-02 Notice Regarding Louisville Metro Police Officers Credit Union    - 184K
2016-07-06 Order Repealing 4-28-10 Deferred Deposit KRS 286.9-010    - 27K
2016-06-09 Order adopting Uniform Notice of Regulation A - Tier 2 Offering Form    - 277K
2016-02-20 KDFI SG 2016-1 Industrial Hemp Production BSA AML Procedures    - 102K
2013-12-03 Additional Application Requirements for Applicants with Foreign Owners    - 108K
2013-09-05 Order of the Commissioner RE Money Transmission Receivables    - 33K
2013-07-19 Order Governing the Implementation of the NMLS for Money Transmitters    - 77K
2012-01-05 Order of the Commissioner RE KY MLO Exemptions - De Minimus    - 44K
2011-08-01 SAFE Act Compliance KRS 286.8    - 74K
2010-04-28 REPEALED Deferred Deposit KRS 286.9-010    - 73K
2009-12-18 Surety Bond KRS 286.8    - 46K
2008-04-02 Order Vacating Order Clarifying Definition of Investment Adviser    - 100K
2008-02-20 Notice of Regulatory Position Regarding the Temporary Agent Transfer Process    - 62K
2008-02-20 Notice of Regulatory Position Regarding Disclosure Statement for Insurance Agents    - 60K
2007-09-06 NMLS Participation KRS 286.8    - 460K
2007-09-06 Investment Adviser Registrations Through IARD    - 364K
2007-01-08 Order Vacating Order Clarifying Registration Requirements    - 56K
2006-10-12 Order In the Matter of Registration Exemption for Certain Canadian Broker-Dealers and Agents    - 220K
2006-07-12 HUD-Exempt Compliance KRS 286.8    - 66K
2006-02 Offering Document Guidelines    - 78K
2006 Switch Disclosure    - 111K
2005-12-05 Equity-Indexed Annuities    - 66K
1998-07-13 Order Regarding the Requirement of Full Disclosure in Limited Offerings    - 378K
Annual Reports
Press Releases & DFI News
2024.04.15 Kentucky Scam Jams To Promote Financial ‘Spring Cleaning’    - 181K
2024.04.09 April Proclaimed as Financial Literacy Month    - 123K
2024.04.05 Commit to Saving Event Held During Kentucky Saves Week    - 118K
2024.02.07 Company Fined for Unlawful Sale of Digital Assets to Kentuckians    - 126K
2024.01.18 Refunds Available to Select Kentuckians Who Purchased Precious Metals    - 148K
2023.12.19 Scam Jam Helps Kentuckian Overcome ‘Account Takeover’ Fraud    - 201K
2023.12.18 Holiday Investor Alert: Securities Scams on the Rise in Kentucky    - 136K
2023.11.22 Financial Institutions Joins Experts to Present on Financial Scams    - 292K
2023.11.20 Financial Institutions Orders Cease and Desist of Unregistered MLM Investment Program    - 128K
2023.10.26 Precious Metals Dealer Permanently Barred in Kentucky    - 130K
2023.10.19 Kentucky Joins in $20 Million Settlement for Unauthorized Mortgage Transactions    - 128K
2023.10.16 Financial Institutions Consent Order Includes Restitution for Affected Kentuckians    - 130K
2023.10.06 Financial Institutions to Present on Scams Impacting KY Seniors    - 119K
2023.10.06 Notice of Public Hearing for Proposed Administrative Regulation 808 KAR 10:501    - 134K
2023.10.05 License Application Opens for Kentucky’s Student Education Loan Servicers    - 167K
2023.09.20 Financial Institutions Files Action Against Robinhood Brokerage    - 128K
2023.08.10 Financial Institutions Board to Hold Annual Meeting    - 128K
2023.08.10 Kentucky Joins in Recouping Overcharges for Investors    - 127K
2023.07.25 Department of Financial Institutions Issues Annual Report    - 132K
2023.07.18 PPC Agencies to Participate in Community Resource Fair at Graves County High School    - 102K
2023.07.05 Nominations Open for Financial Literacy Teacher of the Year    - 117K
2023.06.14 Team Kentucky Recognizes World Elder Abuse Awareness Day    - 136K
2022.04.14 New Law Benefits Investors    - 157K
2022.04.07 Investor Advisories Promote Financial Literacy    - 150K
2022.03.23 Statement on Cyber Risk and Investment Threats Related to the Conflict in Ukraine    - 155K
2022.03.16 Department Urges Investors to Name Trusted Contact    - 155K
2022.03.10 Training Offers Credit Unions Essential Information    - 81K
2022.02.14 32 States and SEC Settle with BlockFI    - 164K
Consumer Publications
2024 Working with Financial Professionals    - 585K
2024 Military Guide to Money & Investing    - 1M
2024 Your New Job - Starting Your Financial Future    - 1M
2024 Investment Fraud    - 873K
2024 Marriage & Money - Starting Your Financial Life Together    - 2M
Investor Advisory Romance Scams (May 2022)    - 274K
Investor Advisory Reassigned Investment Accounts April 2022    - 306K
Investor Advisory Decentralized Finance (Dec. 2021)   --
Trusted Contact Fact Sheet    - 147K
Investor Advisory Expense Ratios (June 2021)    - 335K
Investor Advisory Social Media, Online Trading and Investing (April 2021)    - 257K
Investor Advisory ESG Investing (April 2021)    - 290K
Investor Advisory Protecting Your Online Accounts (Feb. 2021)    - 274K
Fraud Awareness Week Resources (November 2020)    - 307K
Investor Advisory COVID19 Scams (October 2020)    - 165K
Investor Advisory Private Placement Offerings (Updated May 2020)    - 4M
DFI Reverse Mortgage Flier (August 2020)    - 305K
DFI Avoiding Investment Fraud (Senior Scam Jam 2019)    - 1M
DFI Cybersecurity Presentation (Senior Scam Jam 2019)    - 2M
Investor Advisory Cross Selling (April 2019)    - 334K
Investor Advisory RoboAdvisers (April 2019)    - 367K
Investory Advisory Be Cautious of the Crypto Investment Craze (May 2018)    - 245K
Investory Advisory What to Know About ICOs (May 2018)    - 239K
Investor Advisory Are Unicorns a Myth (March 2018)    - 697K
Investor Advisory Third Party Asset Recovery Companies (Dec. 2015)    - 201K
Stopping Cybercrime - Tips for Consumers (2015)    - 532K
Borrower Beware - Avoiding Bad Loans (2013)    - 387K
Don't Fall Prey to Predatory Lending    - 1M
VISIT OTHER PPC AGENCIES