292.325 Filing of prospectus, pamphlet, or other advertising communication by

114 words·~1 min read·/ky/292-325

A research copy — for the controlling text, always check the official state or federal source. Not legal advice.

order of commissioner.

(1)Except as otherwise provided in this section, the commissioner may by rule or order

require the filing of any prospectus, pamphlet, circular, form letter, advertisement,

or other sales literature, radio, television, or other advertising communication

addressed or intended for distribution to prospective investors, including clients or

prospective clients of an investment adviser, as part of a registered offering or as a

part of an exemption offering required to be filed under KRS 292.415.

(2)The provisions of this section shall not require a covered adviser to file with the

commissioner any documents listed in subsection

(1)of this section or any

document, except a prospectus, relating to a covered security.