(1) The fee for initial or renewal registration shall be, for:
(a) A broker-dealer, one hundred twenty dollars ($120); (b) An investment adviser, one hundred dollars ($100); (c) An agent, fifty dollars ($50);

Terms Used In Kentucky Statutes 292.335

  • Agent: means any individual other than a broker-dealer who represents a broker- dealer or issuer in effecting or attempting to effect purchases or sales of securities. See Kentucky Statutes 292.310
  • Broker-dealer: means any person engaged in the business of effecting transactions in securities for the account of others or for his own account. See Kentucky Statutes 292.310
  • Covered adviser: means any person who is registered under Section 203 of the Investment Advisers Act of 1940, 15 U. See Kentucky Statutes 292.310
  • Investment adviser representative: means an individual employed by or associated with an investment adviser or covered adviser and who makes any recommendations or otherwise gives investment advice regarding securities, manages accounts or portfolios of clients, determines which recommendations or advice regarding securities should be given, provides investment advice or holds himself or herself out as providing investment advice, receives compensation to solicit, offer, or negotiate for the sale of or for selling investment advice, or supervises employees who perform any of the foregoing. See Kentucky Statutes 292.310

(d) An investment adviser representative, fifty dollars ($50); and
(e) The transfer of an agent or investment adviser representative, fifty dollars
($50).
(2) The fee for initial or renewal notice filings shall be one hundred dollars ($100) for a covered adviser.
(3) The fees required by subsections (1) and (2) of this section shall not be refundable.
Effective: July 15, 2010
History: Created 2010 Ky. Acts ch. 82, sec. 7, effective July 15, 2010.