010. Forms for application, registration, notice filing, reporting and compliance

020. Capital, records and reporting requirements of broker-dealers

030. Conduct of broker-dealers, agents, and employees; investment advisers and representatives

042. Use of Senior Certifications and Designations

050. Application withdrawal

060. Abandoned applications

080. Guidelines for issuers

090. Issuer's reports

110. Records of investment advisers

120. Registration files

130. Amendments to registration statement

150. Registration exemptions

160. Definitions for 808 KAR Chapter 10

170. Exemption claims from securities registration; form

200. Investment advisers' minimum liquid capitalization; bond

210. Registration exemptions - Federal Regulation D

225. Administrative hearing procedures

240. Registration exemptions - sale of business

260. Examination requirement for individuals advising the public on securities, broker-dealers, and agents

280. Qualifications, eligibility, and restrictions on the use of Form U-7, Small Corporate Offering Registration

300. Registration exemptions - pension plans

310. Broker-dealer agent de minimis rules

320. Broker-dealer books and records requirements

340. Registration exemption for certain limited offerings made exclusively to accredited investors

350. Internet advertising

360. Safe harbor for limited liability company membership interests

370. Securities offered on the Internet but not sold in Kentucky

380. Solicitations of interest prior to the filing of a registration statement

390. Confidentially disclosed documents

400. Examination fees and criteria

410. Life settlement investments

430. Required filing for oil, gas, and mineral securities offerings relying upon the registration exemption in KRS 292.410(1)(i)

440. Examples of dishonest or unethical practice for broker-dealers and agents

450. Examples of dishonest or unethical practice for investment advisers and investment adviser representatives

460. Request for approval of change in control

480. Books and records of firms employing issuer agents.

490. Procedures for distributing and using funds from the Securities Fraud Prosecution and Prevention Fund

500. Required forms, fees, filing procedures, and recordkeeping requirements for persons operating pursuant to KRS 292.411 and KRS 292.412, the Kentucky Intrastate Crowdfunding Exemption