Kentucky law requires every security offered or sold in Kentucky to be registered, unless it is exempt or is a covered security.
Please Note: Make all checks submitted to the Division of Securities payable to the Kentucky State Treasurer.
Registrations
To register a security in Kentucky, you must file Forms U-1, U-2 and other documents required by statute or regulation with the Department of Financial Institutions (DFI). For more information, see Kentucky Revised Statutes (KRS) 292.350 , KRS 292.360 , KRS 292.370 and KRS 292.380. There is an examination fee of $125 and a registration fee of 0.06 of 1 percent (0.0006) of the total amount of securities to be offered in Kentucky. The minimum registration fee is $60 and the maximum fee is $1,200.
Contact Anthony Murphy at (502) 782-9062 with questions about registering securities.
Issuer Agent Registration
For information about registering as an individual to sell these types of products, visit the Issuer Agents page.
Disclaimer
The Division of Securities does not respond to requests for written opinions on an “informal” basis, such as through emails. The Kentucky Securities Act, KRS Chapter 292, sets out a formal process for obtaining written rulings that requires a letter filing (along with a fee of $250) containing all of the relevant facts and circumstances of the proposed transaction(s) so that a thorough consideration of all the issues presented can be made, and to ensure that the act’s provisions are consistently applied. See KRS 292.420(3).
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