Contribute to the Team Kentucky Storm Relief Fund at TeamKYStormReliefFund.ky.gov

DEPARTMENT OF FINANCIAL INSTITUTIONS
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 Lindsey Stout at (502) 382-7428. 

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 present at your compliance meeting, contact Lindsey Stout at (502) 382-7428. This is a free service offered by DFI’s Securities Division.