2022 Regular Session • Kentucky Legislature
SB298: AN ACT relating to persons regulated under the Securities Act of Kentucky.
Legislative Summary
Amend KRS 292.336 to require investment advisers to establish written procedures relating to a business continuity and succession plan; require investment advisers to establish and implement written physical security and cybersecurity policies and procedures; create a new section of KRS Chapter 292 to establish continuing education requirements for investment adviser representatives; EFFECTIVE January 1, 2023.
Bill History
3/2/2022
introduced in Senate
Senate
3/2/2022
to Committee on Committees (S)
Senate
3/3/2022
to Banking & Insurance (S)
Senate
3/15/2022
reported favorably, 1st reading, to Consent Calendar
Senate
3/16/2022
2nd reading, to Rules as a consent bill
Senate
3/17/2022
posted for passage in the Consent Orders of the Day for Friday, March 18, 2022
Senate
3/18/2022
3rd reading, passed 34-0
Senate
3/18/2022
received in House
House of Representatives
3/18/2022
to Committee on Committees (H)
House of Representatives
3/22/2022
to Banking & Insurance (H)
House of Representatives
3/23/2022
reported favorably, 1st reading, to Calendar
House of Representatives
3/24/2022
2nd reading, to Rules
House of Representatives
3/24/2022
posted for passage in the Regular Orders of the Day for Friday, March 25, 2022
House of Representatives
3/29/2022
taken from the Orders of the Day
House of Representatives
3/29/2022
returned to Rules
House of Representatives
3/30/2022
posted for passage in the Consent Orders of the Day for Wednesday, March 30, 2022
House of Representatives
3/30/2022
3rd reading, passed 97-1
House of Representatives
3/30/2022
received in Senate
Senate
3/30/2022
enrolled, signed by President of the Senate
Senate
3/30/2022
enrolled, signed by Speaker of the House
Senate
3/30/2022
delivered to Governor
Senate
4/8/2022
signed by Governor (Acts Ch. 145)
Senate
Roll Call Votes
House: Veto Override RCS# 488
3/30/2022
97
Yea
1
Nay
0
Not Voting
2
Absent
Result: PASSED
Senate: Third Reading RSN# 2160
3/18/2022
34
Yea
0
Nay
0
Not Voting
4
Absent
Result: PASSED
Status Information
Current Status
Passed(4/8/2022)
Chamber
Senate
Sine Die
Sponsors
Republican: 1
Primary Sponsor
Jared Carpenter
Republican