• 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
1025 Capital Center Drive, Suite 200
Frankfort, KY 40601
Kentucky Department of Financial Institutions
1025 Capital Center Drive, Suite 200
Frankfort, KY 40601
  • For additional information, please visit the Department’s website at www.kfi.ky.gov, or contact them at (502) 782-9062.