Dealer Requirements: Issuers do not have to register as Broker/Dealers. No B/D licensing needed if the seller does not receive a commission. If a commission will be accepted then the dealer must be registered with the state. The Form BD is used to register broker/dealers. Broker/dealers must pay a $120 registration fee.

Official Recognition: Yes

Forms: Form U-1, U-2, U-2A, U-7 and Federal Form D.

Date Last Modified: 1/27/97

Regulatory Contact:

Contact:
Department of Financial Institutions

Address:
1025 Capital Center Drive, Suite 200
Frankfort KY 40601

Phone:
(502) 573-3390 or 1-800-223-2579

Fax:
(502) 573-8787

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