RELATES TO:
KRS
292.327,
292.330,
292.331,
292.332,
292.333,
292.334,
292.350(2),
292.360(2),
292.370(2),
292.380(2),
292.410(1)(q),
292.430(1),
(2)
NECESSITY, FUNCTION, AND CONFORMITY:
KRS
292.327(1),
292.331(1),
(5), (6),
292.332,
292.333,
292.334,
292.350(2),
292.360(2),
292.370(2),
292.410(1)(q),
and
292.430(1) and
(2) require the commissioner to prescribe the
required forms for registration or renewal registration, for a notice filing,
for a registration exemption, and for withdrawal of registration. This
administrative regulation establishes the required forms and incorporates by
reference those forms.
Section 1.
(1) Pursuant to
KRS
292.331(1), Form BD, Uniform
Application for Broker-Dealer Registration, shall be completed to register as a
broker-dealer in Kentucky.
(2)
Pursuant to
KRS
292.331(1), Form U-4,
Uniform Application for Securities Industry Registration or Transfer, shall be
completed to:
(a) Register as an agent or an
investment adviser representative in Kentucky; or
(b) Transfer an agent's or representative's
registration to another broker-dealer, issuer, or investment adviser.
(3) Pursuant to
KRS
292.331(5), Form 33-e-1,
Application for Renewal of Issuer Agent Registration, shall be completed to
renew registration as an issuer agent in Kentucky.
(4) Pursuant to
KRS
292.331(1) and
292.332,
Form ADV, Uniform Application for Investment Adviser Registration, shall be
completed electronically to register or notice file as an investment adviser or
covered adviser in Kentucky.
(5)
Pursuant to
KRS
292.350(2),
292.360(2),
and
292.370(2),
Form U-1, Uniform Application to Register Securities, shall be completed to
register a security for sale in Kentucky by coordination, qualification, or
notification.
(6) Pursuant to
KRS
292.327(1), Form NF, Uniform
Investment Company Notice Filing, shall be completed to make a notice filing in
Kentucky.
(7) Pursuant to
KRS
292.327(2), Form D, Notice
of Exempt Offering of Securities, under Section 18(b)(4)(D) of the Securities
Act of 1933, shall be completed to file for an exemption or register an
offering under
808
KAR 10:280, Section 2(1).
(8) Pursuant to
KRS 292.430(1) and
(2), Form U-2, Uniform Consent to Service of
Process, shall be completed by an issuer required to file a consent to service
of process.
(9) Pursuant to
KRS
292.334(5), Form BDW,
Uniform Request for Broker-Dealer Withdrawal, shall be completed if a
broker-dealer withdraws his registration in Kentucky.
(10) Pursuant to
808
KAR 10:280, Form U-7, Small Company Offering
Registration, shall be completed by a company who:
(a) Meets the eligibility requirements
established in that administrative regulation; and
(b) Wants to register an offering pursuant to
that administrative regulation.
(11) Pursuant to
KRS
292.334(5), Form U5, Uniform
Termination Notice for Securities Industry Registration, shall be completed to
terminate registration as an agent or investment adviser representative.
Section 2. Incorporation
by Reference.
(1) The following material is
incorporated by reference:
(a) "Form BD,
Uniform Application for Broker-Dealer Registration", December, 2019;
(b) "Form U4, Uniform Application for
Securities Industry Registration or Transfer", December, 2019;
(c) "Form 33-e-1, Application for Renewal of
Issuer Agent Registration", December, 2019;
(d) "Form ADV, Uniform Application for
Investment Adviser Registration", December, 2019;
(e) "Form U-1, Uniform Application to
Register Securities", December, 2019;
(f) "Form NF, Uniform Investment Company
Notice Filing", December, 2019;
(g)
"Form D, Notice of Exempt Offering of Securities", December, 2019;
(h) "Form U-2, Uniform Consent to Service of
Process", December, 2019;
(i)
"Form BDW, Uniform Request for Broker-Dealer Withdrawal", December, 2019;
(j) "Form U-7, Small Company
Offering Registration", December, 2019; and
(k) "Form U5, Uniform Termination Notice for
Securities Industry Registration", December, 2019.
(2) This material may be inspected, copied,
or obtained, subject to applicable copyright law, at the:
(a) Department of Financial Institutions, 500
Mero St 2SW19, Frankfort, Kentucky 40601, Monday through Friday, 8 a.m. to 4:30
p.m.; or
(b) Financial Industry
Regulatory Authority (FINRA), 1735 K Street, N.W., Washington, D.C. 20006, or a
regional FINRA office.
(3) Form ADV may also be obtained from the
Securities and Exchange Commission, Branch of BD and IA Registration, 100 F
Street, NE, Washington, D.C. 20549.
