808 KAR 10:090.
RELATES TO: KRS
292.360, 15 U.S.C. 78m, 78o(d)
AUTHORITY: KRS 292.500(3)
FUNCTION, AND CONFORMITY: KRS
292.500(3) authorizes the commissioner
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
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.
TAm eff. 11-7-2012.)