808 KAR 10:110. Records of investment advisers

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Kentucky Administrative Regulations › Title 808 (Public Protection Cabinet - Department of Financial Institutions) › Chapter 010 › 808 KAR 10:110

This text was captured on Aug 14, 2026. It is a snapshot, not a live feed, so check the official code before relying on it.

Text

Section 1. (1) Pursuant to KRS 292.336(1)(a), an investment adviser who maintains his principal place of business in Kentucky shall: (a) Meet the recordkeeping requirements established in 15 U.S.C. 80b-3; and (b) Maintain his books and records in accordance with the applicable federal regulations, including 17 C.F.R. 275.204-2. (2) The requirements established in subsection (1) of this section shall apply to an investment adviser subject to the provisions of KRS Chapter 292. (3) The commissioner may upon application for good cause shown relieve an investment adviser of compliance with the requirements established in subsection (1) of this section if the action is in the public interest.

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