IA- Kentucky Criminal Background Check Requirements

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The KY Criminal Background Check Requirements highlight the requirements for all individuals applying for registration as an investment adviser representative or as an issuer agent in the state of Kentucky.  The background check requirement does not apply to individuals that are currently registered in Kentucky as a broker-dealer agent and has submitted a fingerprint card to an SRO within the previous year.

Version/Update: V.U/04/2020

Total Page Count/Format: 2/.pdf

Source/Author(s): Kentucky Department of Financial Institutions