Regulatory Alerts2025-12-30
Added · Updated
Kentucky Department of Financial Institutions Guidance on KRS 292.327(1)(a) Securities Filing Fees
The Kentucky Department of Financial Institutions rescinds its 2009 fee administration notice and mandates a $500 filing fee for each individual fund portfolio submitted for registration as a covered security under KRS 292.327(1)(a). The agency explicitly prohibits registrants from combining multiple CIKs or fund portfolios into a single submission, regardless of internal fund classifications. This revised fee and filing structure will apply to all submissions processed on or after January 1, 2026.
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