Securities
The Securities Division of the Kentucky Department of Financial Institutions (DFI) regulates securities activities in Kentucky. The industries and individuals for which the Securities Division has oversight include:
Besides registering securities offerings and the people who sell them, the Securities Division examines firms and individuals and investigates complaints and suspicious activity.
The Securities Division also provides educational materials and outreach to protect consumers from financial fraud. For more information on education and outreach, visit the Public Resources channel. If you have a question or need to file a complaint, DFI is here to help.
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Industry Resource |
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This resource is free for the use of entities and individuals regulated by DFI. If you need an alternate format, or if you have any questions, contact Public Information Officer Kelly May at 502-573-3390, ext. 252.
Download: Investor Resources Flier Printable Document [PDF 132KB]
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"DFI Investor Resources" lists free brochures and booklets on investing topics that are available to consumers. This PDF file is designed to yield three brochure-width fliers per one 8 ½-by-11-inch sheet of paper, printed on both front and back. The copies may be printed at any local print shop. |
Department of Financial Institutions
1025 Capital Center Drive
Suite 200
Frankfort, KY 40601
Phone: 502-573-3390
Toll free: 800-223-2579
Fax: 502-573-2182
E-mail: kfi@ky.gov
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