808 KAR 10:090.

Issuer's reports.

 

      RELATES TO: KRS

292.360, 15 U.S.C. 78m, 78o(d)

      STATUTORY

AUTHORITY: KRS 292.500(3)

      NECESSITY,

FUNCTION, AND CONFORMITY: KRS

292.500(3) authorizes the commissioner

to

promulgate administrative regulations necessary to carry out the provisions of

KRS Chapter 292. KRS 292.360 establishes procedures by which a security for

which a federal registration statement has been filed in connection with the

same offering to register by coordination. This administrative regulation establishes

a procedure for an issuer to keep the registration statement current beyond the

one (1) year period of registration.

 

      Section 1. The

person who files a registration statement pursuant to KRS 292.360 shall keep

the registration statement current by filing the following:

      (1) A copy of

the issuer's annual report on Form 10-K as filed with the Securities and

Exchange Commission pursuant to 15 U.S.C. 78m or 78o(d), or a document

containing the information required by 15 U.S.C. 78m or 78o(d);

      (2) A statement

of the aggregate amount of securities sold in the state of Kentucky during the

preceding twelve (12) month period; and

      (3) A

posteffective amendment to the issuer's federal registration statement not already

on file with the office. (SR 380(7)-3; 1 Ky.R. 1095; eff. 6-11-75; Am. 9 Ky.R.

46; eff. 8-11-82; 11 Ky.R. 1909; eff. 7-9-85; 24 Ky.R. 2178; 25 Ky.R. 87; eff.

6-25-98;

TAm eff. 11-7-2012.)