# 808 KAR 10:060: 808 KAR 10:060. Abandoned applications

> Kentucky · Regulations · In force

URL: https://www.frixlaw.com/law-library/statutes/STATE_KY_KAR_T808_C010_R060

## Section

- **Citation:** 808 KAR 10:060
- **Heading:** 808 KAR 10:060. Abandoned applications
- **Jurisdiction:** Kentucky
- **Kind:** Regulations
- **Status:** In force
- **Text as of:** August 14, 2026
- **Source:** Compiled text
- **Location:** Kentucky Administrative Regulations / Title 808 (Public Protection Cabinet - Department of Financial Institutions) / Chapter 010 / 808 KAR 10:060

## Text

Section 1. When a registration statement, or a preeffective amendment to such a statement, has been on file with the commissioner for a period of nine (9) months and has not become effective, the commissioner may, in his discretion proceed in the following manner to determine whether such registration statement or amendment has been abandoned by the registrant: (1) A notice will be sent to the registrant and to the agent for service named in the registration statement by registered or certified mail, return receipt requested, addressed to the most recent address for the registrant and the agent for service reflected in the registration statement. Such notice will inform the registrant and the agent for service that the registration statement or amendment is out of date and must be either amended to comply with the applicable requirements of the Act and the rules and regulations thereto, or be withdrawn within thirty (30) days after the date of such notice. (2) If the registrant or the agent for service fails to respond to such notice by filing a substantive amendment or withdrawing the registration statement or does not furnish a satisfactory explanation as to why he has not done so within such thirty (30) days, the commissioner may, declare the registration statement or amendment abandoned. Fees will be deemed to be forfeited and will not be returned. Section 2. If the registration statement has been amended, otherwise than for the purpose of delaying the effective date thereof, or if the preeffective amendment has been amended, the nine (9) month period shall be computed from the date of the latest such amendment.

## Nearby sections

- [808 KAR 10:010 808 KAR 10:010. Forms for application, registration, notice filing, reporting and compliance](https://www.frixlaw.com/law-library/statutes/STATE_KY_KAR_T808_C010_R010.md)
- [808 KAR 10:020 808 KAR 10:020. Capital, records and reporting requirements of broker-dealers](https://www.frixlaw.com/law-library/statutes/STATE_KY_KAR_T808_C010_R020.md)
- [808 KAR 10:030 808 KAR 10:030. Conduct of broker-dealers, agents, and employees; investment advisers and representatives](https://www.frixlaw.com/law-library/statutes/STATE_KY_KAR_T808_C010_R030.md)
- [808 KAR 10:042 808 KAR 10:042. Use of senior certifications and designations](https://www.frixlaw.com/law-library/statutes/STATE_KY_KAR_T808_C010_R042.md)
- [808 KAR 10:050 808 KAR 10:050. Application withdrawal](https://www.frixlaw.com/law-library/statutes/STATE_KY_KAR_T808_C010_R050.md)
- [808 KAR 10:060 808 KAR 10:060. Abandoned applications](https://www.frixlaw.com/law-library/statutes/STATE_KY_KAR_T808_C010_R060.md)
- [808 KAR 10:090 808 KAR 10:090. Issuer's reports](https://www.frixlaw.com/law-library/statutes/STATE_KY_KAR_T808_C010_R090.md)
- [808 KAR 10:110 808 KAR 10:110. Records of investment advisers](https://www.frixlaw.com/law-library/statutes/STATE_KY_KAR_T808_C010_R110.md)
- [808 KAR 10:120 808 KAR 10:120. Registration files](https://www.frixlaw.com/law-library/statutes/STATE_KY_KAR_T808_C010_R120.md)
- [808 KAR 10:130 808 KAR 10:130. Amendments to registration statement](https://www.frixlaw.com/law-library/statutes/STATE_KY_KAR_T808_C010_R130.md)
- [808 KAR 10:150 808 KAR 10:150. Registration exemptions](https://www.frixlaw.com/law-library/statutes/STATE_KY_KAR_T808_C010_R150.md)
- [808 KAR 10:160 808 KAR 10:160. Definitions for 808 KAR Chapter 10](https://www.frixlaw.com/law-library/statutes/STATE_KY_KAR_T808_C010_R160.md)
- [808 KAR 10:170 808 KAR 10:170. Exemption claims from securities registration; form](https://www.frixlaw.com/law-library/statutes/STATE_KY_KAR_T808_C010_R170.md)
- [808 KAR 10:200 808 KAR 10:200. Investment advisers' minimum liquid capitalization; bond](https://www.frixlaw.com/law-library/statutes/STATE_KY_KAR_T808_C010_R200.md)

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Source: Frix Law Library, https://www.frixlaw.com/law-library/statutes/STATE_KY_KAR_T808_C010_R060. Check the current official text before relying on it. Not legal advice.