# 808 KAR 10:110: 808 KAR 10:110. Records of investment advisers

> Kentucky · Regulations · In force

URL: https://www.frixlaw.com/law-library/statutes/STATE_KY_KAR_T808_C010_R110

## Section

- **Citation:** 808 KAR 10:110
- **Heading:** 808 KAR 10:110. Records of investment advisers
- **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 10:110

## 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.

## 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_R110. Check the current official text before relying on it. Not legal advice.