- Kentucky is a merit jurisdiction.
- Kentucky accepts the Uniform Application to Register Securities (Form U1), and allows for electronic signature of forms.
- Registration requires filing or delivery of:
- Filing fee
- Application form
- Financial statements
- A Consent to Service of Process (Form U2)
- SEC Form 1-A with exhibits
- Kentucky collects a variable fee: $125 examination fee plus a registration fee of 0.06% of the aggregate offering price of the securities which are to be offered in Kentucky. In no case will the registration fee be less than $60 nor more than $1,200. Fees should be payable to “Kentucky State Treasurer”. Payments should be sent to the following address:
| Mailing Address: | Courier Address: |
| Kentucky Department of Financial Institutions 500 Mero St., 2SW19 Frankfort, KY 40601 |
Kentucky Department of Financial Institutions 500 Mero St., 2SW19 Frankfort, KY 40601 |
- For additional information, please visit the Department’s website at www.kfi.ky.gov, or contact them at (502) 782-9062.
