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DEPARTMENT OF FINANCIAL INSTITUTIONS
Forms and Documents

If you would like to receive press releases from DFI, please contact Laura Clewett at Laura.Clewett@ky.gov or 502-782-9031.


State-Chartered Banks
State-Chartered Credit Unions
Trust Companies
Non-Depository - 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   --
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2010-04-28 REPEALED Deferred Deposit KRS 286.9-010    - 73K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
Securities - Related Documents
Annual Reports
Press Releases & DFI News
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
2022.02.03 Precious Metals Scheme Targets Elderly    - 160K
2022.01.27 Join DFI for Financial Resolutions    - 206K
2022.01.24 DFI Joins Multistate Enforcement Action    - 153K
2022.01.20 Fraud, Digital Assets Pose Risks to Investors    - 143K
2022.01.03 Financial Institutions Board Welcomes New Member    - 74K
2021.12.14 DFI Notice to Depository Institutions Impacted by Tornadoes and Severe Weather    - 90K
2021.11.16 Kentucky Department of Financial Institutions Reaccredited    - 161K
2021.10.25 Financial Institutions Board Welcomes New Member    - 121K
2021.10.21 Information for Investors: Establish a Trusted Contact   --
2021.10.20 Join DFI for Financial Fraud    - 334K
2021.10.01 FDIC Names Charles Vice to Advisory Committee of State Regulators   
2021.09.17 Lexington Man Sentenced to 120 Months for Investment Fraud []
2021.09.23 Financial Institutions Board Holds Annual Meeting    - 269K
2021.09.17 Financial Institutions Board Holds Annual Meeting    - 268K
2021.09.16 Join DFI for How to Make Your Earnings Work for You Through Retirement    - 340K
2021.09.03 Kentuckian Elected to North American Securities Administrators Association Board    - 335K
2021.08.23 Join DFI for Investing - A Beginner's Guide Aug. 27    - 517K
2021.08.06 Jacob Named Nondepository Division Director    - 339K
2021.07.30 Kentucky to Blockfi 'Cease and Desist'    - 273K
2021.07.14 Join DFI for Financial Freedom Event on July 23    - 332K
2021.06.22 Join DFI for 'How to Build Your Nest Egg' on June 25    - 334K
2021.06.15 Department of Financial Institutions Recognizes World Elder Abuse Awareness Day    - 288K
2021.05.13 Join DFI for Retirement Readiness for Military Families May 28.docx    - 331K
2021.04.30 Lt. Gov. Coleman Celebrates Financial Literacy Month    - 281K
2021.04.12 Governor Beshear Proclaims April Financial Literacy Month    - 305K
2021.03.08 Internet, Social Media Scams Top Threats to Kentucky Investors    - 358K
2021.03.05 Financial Institutions Board Welcomes New Members    - 129K
2021.02.22 Gov. Beshear Proclaims Feb. 22-26 as Kentucky Saves Week    - 313K
2021.02.03 Recent Share Price Volatility    - 116K
2021.01.28 Own Your Privacy on Data Privacy Day    - 454K
2021.01.13 DFI Reminds Firms to Contact Regulators with Issues Related to SolarWinds Breach    - 117K
2020.12.17 State Secures More than $600,000 for Kentucky Home Owners    - 373K
2020.11.13 DFI Joins Multistate Opposition to SEC Proposal    - 288K
2020.11.05 Kentucky Official Elected to International Committee    - 117K
2020.10.06 Kentucky Financial Services Industry Thrived in 2019    - 458K
20.09.28 DFI Takes Legal Action Against Investment Fraud Scheme    - 613K
2020-09-17 Financial Institutions Board to Hold Annual Meeting    - 441K
2020-07-30 Vice Elected to NASCUS Board    - 115K
Consumer Publications
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