DEPARTMENT OF FINANCIAL INSTITUTIONS

Contribute to the Team Eastern Kentucky Flood Relief Fund at TeamEKYFloodReliefFund.ky.gov | For the latest information on the novel coronavirus in Kentucky, please visit kycovid19.ky.gov

Licensing & Registration

Non-Depository

Mortgage Licensing & Exemptions
Deferred Deposit Companies & Check Cashers
Consumer & Industrial Loan Companies
Money Transmitters

Securities

Broker-Dealers
Broker-Dealer Agents
Investment Advisers
Investment Adviser Representatives
Issuer Agents
Securities Registrations
Securities Exemptions

Policy Statement

Please note that an order or advisory opinion may have changed license or registration requirements. Find out more on the Orders of the Commissioner & Other Opinions page.