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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.