§ 292.310 Definitions for chapter
§ 292.313 Applicability of specified provisions to sales transactions
§ 292.320 Fraudulent and other prohibited practices
§ 292.322 Securities fraud prosecution and prevention fund
§ 292.325 Filing of prospectus, pamphlet, or other advertising communication by order of commissioner
§ 292.327 Filing of documents with respect to covered securities — Fees
§ 292.330 Registration of broker-dealers, agents, investment advisers, and investment adviser representatives
§ 292.331 Application for registration — Contents — Conditions — Requirements
§ 292.332 Notice filing by covered adviser — Contents — Exemptions — Renewal
§ 292.333 Successor broker-dealers and investment advisers — New application for or amendment to registration or notice filing — Name change by registrant
§ 292.334 Notice of termination of employment or association — Termination of registration or application by commissioner — Temporary registration — Withdrawal of registration or notice filing
§ 292.335 Fees for initial or renewal registration or notice filing
§ 292.336 Recordkeeping and reporting requirements — Examination by commissioner — Administrative regulations — Central depository system for documents
§ 292.337 Grounds for denial, suspension, limitation, or revocation of registration and for disciplinary action — Summary order — Emergency hearing — Order in accordance with KRS Chapter 13B
§ 292.340 Registration of securities
§ 292.350 Registration by notification
§ 292.360 Registration by coordination
§ 292.370 Registration by qualification
§ 292.380 General provisions regarding registration of securities
§ 292.390 Denial, suspension, and revocation of registration
§ 292.400 Exempt securities
§ 292.410 Exempt transactions — Summary order denying or revoking exemption — Appeal
§ 292.411 Exemption from KRS 292.330 to 292.390 for offer or sale of security after January 1, 2015 — Conditions — Application of KRS 292.410(3) and (4)
§ 292.412 Registration of securities Internet Web site operators
§ 292.415 Claim of exemption — Effect of failure to file
§ 292.420 Burden of proving exemption
§ 292.430 Consent to service of process
§ 292.440 Misleading filings
§ 292.450 Unlawful representations concerning registration or exemption
§ 292.460 Investigations and subpoenas
§ 292.470 Remedies
§ 292.480 Civil liabilities
§ 292.490 Judicial review of orders
§ 292.500 Administration of chapter
§ 292.530 Purpose of chapter
§ 292.540 Effect of registrations under prior law
§ 292.545 Interest charges by broker or dealer
§ 292.550 Citation of chapter
§ 292.6501 Definitions for KRS 292.6501 to 292.6512
§ 292.6502 Registration in beneficiary form — Sole or joint tenancy ownership
§ 292.6503 Registration in beneficiary form — Applicable law
§ 292.6504 Origination of registration in beneficiary form
§ 292.6505 Form of registration in beneficiary form
§ 292.6506 Effect of registration in beneficiary form
§ 292.6507 Ownership on death of owner
§ 292.6508 Protection of registering entity
§ 292.6509 Nontestamentary transfer on death
§ 292.6510 Terms, conditions, and forms for registration
§ 292.6511 Short title of KRS 292.6501 to 292.6512 — Construction of KRS 292.6501 to 292.6512
§ 292.6512 Application of KRS 292.6501 to 292.6512
§ 292.991 Penalties

Terms Used In Kentucky Statutes > Chapter 292

  • Action: includes all proceedings in any court of this state. See Kentucky Statutes 446.010
  • Affidavit: A written statement of facts confirmed by the oath of the party making it, before a notary or officer having authority to administer oaths.
  • 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
  • Amendment: A proposal to alter the text of a pending bill or other measure by striking out some of it, by inserting new language, or both. Before an amendment becomes part of the measure, thelegislature must agree to it.
  • Annuity: A periodic (usually annual) payment of a fixed sum of money for either the life of the recipient or for a fixed number of years. A series of payments under a contract from an insurance company, a trust company, or an individual. Annuity payments are made at regular intervals over a period of more than one full year.
  • any other state: includes any state, territory, outlying possession, the District of Columbia, and any foreign government or country. See Kentucky Statutes 446.010
  • Appeal: A request made after a trial, asking another court (usually the court of appeals) to decide whether the trial was conducted properly. To make such a request is "to appeal" or "to take an appeal." One who appeals is called the appellant.
  • Assets: (1) The property comprising the estate of a deceased person, or (2) the property in a trust account.
  • Attorney: means attorney-at-law. See Kentucky Statutes 446.010
  • Bankruptcy: Refers to statutes and judicial proceedings involving persons or businesses that cannot pay their debts and seek the assistance of the court in getting a fresh start. Under the protection of the bankruptcy court, debtors may discharge their debts, perhaps by paying a portion of each debt. Bankruptcy judges preside over these proceedings.
  • Beneficiary: A person who is entitled to receive the benefits or proceeds of a will, trust, insurance policy, retirement plan, annuity, or other contract. Source: OCC
  • 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
  • Certified mail: means any method of governmental, commercial, or electronic delivery that allows a document or package to have proof of:
    (a) Sending the document or package. See Kentucky Statutes 446.010
  • Common law: The legal system that originated in England and is now in use in the United States. It is based on judicial decisions rather than legislative action.
  • Company: may extend and be applied to any corporation, company, person, partnership, joint stock company, or association. See Kentucky Statutes 446.010
  • Contract: A legal written agreement that becomes binding when signed.
  • Conviction: A judgement of guilt against a criminal defendant.
  • Corporation: may extend and be applied to any corporation, company, partnership, joint stock company, or association. See Kentucky Statutes 446.010
  • 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
  • Covered security: means any security that is or upon completion of a transaction will be a covered security under Section 18(b) of the Securities Act of 1933, 15
    U. See Kentucky Statutes 292.310
  • Damages: Money paid by defendants to successful plaintiffs in civil cases to compensate the plaintiffs for their injuries.
  • Decedent: A deceased person.
  • Deed: The legal instrument used to transfer title in real property from one person to another.
  • Defendant: In a civil suit, the person complained against; in a criminal case, the person accused of the crime.
  • Department: means the Department of Financial Institutions of the Commonwealth of Kentucky. See Kentucky Statutes 292.310
  • Dependent: A person dependent for support upon another.
  • Directors: when applied to corporations, includes managers or trustees. See Kentucky Statutes 446.010
  • Discovery: Lawyers' examination, before trial, of facts and documents in possession of the opponents to help the lawyers prepare for trial.
  • Escrow: Money given to a third party to be held for payment until certain conditions are met.
  • Evidence: Information presented in testimony or in documents that is used to persuade the fact finder (judge or jury) to decide the case for one side or the other.
  • Executor: A male person named in a will to carry out the decedent
  • Federal: refers to the United States. See Kentucky Statutes 446.010
  • Felony: A crime carrying a penalty of more than a year in prison.
  • Fiduciary: A trustee, executor, or administrator.
  • Fiscal year: The fiscal year is the accounting period for the government. For the federal government, this begins on October 1 and ends on September 30. The fiscal year is designated by the calendar year in which it ends; for example, fiscal year 2006 begins on October 1, 2005 and ends on September 30, 2006.
  • Foreign: when applied to a corporation, partnership, limited partnership, business trust, statutory trust, or limited liability company, includes all those incorporated or formed by authority of any other state. See Kentucky Statutes 446.010
  • Fraud: Intentional deception resulting in injury to another.
  • Gift: A voluntary transfer or conveyance of property without consideration, or for less than full and adequate consideration based on fair market value.
  • Guaranteed: means guaranteed as to payment of principal, interest, or dividends. See Kentucky Statutes 292.310
  • Guarantor: A party who agrees to be responsible for the payment of another party's debts should that party default. Source: OCC
  • Guardian: A person legally empowered and charged with the duty of taking care of and managing the property of another person who because of age, intellect, or health, is incapable of managing his (her) own affairs.
  • Injunction: An order of the court prohibiting (or compelling) the performance of a specific act to prevent irreparable damage or injury.
  • Insolvent: means either a person's liabilities exceed the person's assets, or the
    person cannot meet obligations as they mature. See Kentucky Statutes 292.310
  • Intestate: Dying without leaving a will.
  • 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
  • Issuer: means any person who issues or proposes to issue any security, except that with respect to certificates of deposit, voting trust certificates, or collateral-trust certificates, or with respect to certificates of interest or shares in an unincorporated investment trust not having a board of directors, or persons performing similar functions, or of the fixed, restricted management, or unit type, the term "issuer" means the person or persons performing the acts and assuming the duties of depositor or manager pursuant to the provisions of the trust or other agreement or instrument under which the security is issued, and except that with respect to fractional undivided interests in oil, gas, or other mineral rights, the term "issuer" means the owner of any such right or of an interest in such right, whether whole or fractional, who creates fractional interests therein for the purpose of distribution. See Kentucky Statutes 292.310
  • Jurisdiction: (1) The legal authority of a court to hear and decide a case. Concurrent jurisdiction exists when two courts have simultaneous responsibility for the same case. (2) The geographic area over which the court has authority to decide cases.
  • Liabilities: The aggregate of all debts and other legal obligations of a particular person or legal entity.
  • Litigation: A case, controversy, or lawsuit. Participants (plaintiffs and defendants) in lawsuits are called litigants.
  • Misdemeanor: Usually a petty offense, a less serious crime than a felony, punishable by less than a year of confinement.
  • Month: means calendar month. See Kentucky Statutes 446.010
  • Mortgage: The written agreement pledging property to a creditor as collateral for a loan.
  • Nonissuer: means not directly or indirectly for the benefit of the issuer. See Kentucky Statutes 292.310
  • Oath: A promise to tell the truth.
  • Obligation: An order placed, contract awarded, service received, or similar transaction during a given period that will require payments during the same or a future period.
  • offer to sell: includes every attempt to offer to dispose of, or solicitation of an offer to buy, a security or interest in a security for value. See Kentucky Statutes 292.310
  • Owner: when applied to any animal, means any person having a property interest in such animal. See Kentucky Statutes 446.010
  • Partnership: includes both general and limited partnerships. See Kentucky Statutes 446.010
  • Per stirpes: The legal means by which the children of a decedent, upon the death of an ancestor at a level above that of the decedent, receive by right of representation the share of the ancestor
  • Person: means an individual, a limited liability company, a corporation, a partnership, a limited partnership, an association, a joint-stock company, a trust where the interests of the beneficiaries are evidenced by a security, an unincorporated organization, a government, or a political subdivision of a government. See Kentucky Statutes 292.310
  • Personal property: All property that is not real property.
  • Plaintiff: The person who files the complaint in a civil lawsuit.
  • Probation: A sentencing alternative to imprisonment in which the court releases convicted defendants under supervision as long as certain conditions are observed.
  • real estate: includes lands, tenements, and hereditaments and all rights thereto and interest therein, other than a chattel interest. See Kentucky Statutes 446.010
  • Registered mail: means any governmental, commercial, or electronic method of delivery that allows a document or package to have:
    (a) Its chain of custody recorded in a register to enable its location to be tracked. See Kentucky Statutes 446.010
  • regulation: means either or both administrative rules or administrative regulations promulgated by any governmental or other regulatory or self-regulatory entity, as the context requires. See Kentucky Statutes 292.310
  • Rescission: The cancellation of budget authority previously provided by Congress. The Impoundment Control Act of 1974 specifies that the President may propose to Congress that funds be rescinded. If both Houses have not approved a rescission proposal (by passing legislation) within 45 days of continuous session, any funds being withheld must be made available for obligation.
  • Restitution: The court-ordered payment of money by the defendant to the victim for damages caused by the criminal action.
  • Right of survivorship: The ownership rights that result in the acquisition of title to property by reason of having survived other co-owners.
  • Security: means any note, stock, treasury stock, bond, debenture, evidence of indebtedness, certificate of interest or participation in any profit-sharing agreement, collateral-trust certificate, preorganization certificate or subscription, transferable share, investment contract, life settlement investment, voting-trust certificate, certificate of deposit for a security. See Kentucky Statutes 292.310
  • sell: includes every contract of sale of, contract to sell, or disposition of, a security or interest in a security for value. See Kentucky Statutes 292.310
  • Service of process: The service of writs or summonses to the appropriate party.
  • Settlement: Parties to a lawsuit resolve their difference without having a trial. Settlements often involve the payment of compensation by one party in satisfaction of the other party's claims.
  • State: when applied to a part of the United States, includes territories, outlying possessions, and the District of Columbia. See Kentucky Statutes 446.010
  • Statute: A law passed by a legislature.
  • Subpoena: A command to a witness to appear and give testimony.
  • Testify: Answer questions in court.
  • Testimony: Evidence presented orally by witnesses during trials or before grand juries.
  • Trustee: A person or institution holding and administering property in trust.
  • Uniform Commercial Code: A set of statutes enacted by the various states to provide consistency among the states' commercial laws. It includes negotiable instruments, sales, stock transfers, trust and warehouse receipts, and bills of lading. Source: OCC
  • Violate: includes failure to comply with. See Kentucky Statutes 446.010
  • Writ: A formal written command, issued from the court, requiring the performance of a specific act.
  • Year: means calendar year. See Kentucky Statutes 446.010