---
type: "Bill"
title: "AN ACT relating to persons regulated under the Securities Act of Kentucky."
description: "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."
jurisdiction: "us/states/ky"
legislature: "Kentucky General Assembly"
session: "2022RS"
identifier: "SB 298"
citation: "Kentucky SB 298 (2022RS)"
classification: ["bill"]
subjects: ["Administrative Regulations and Proceedings", "Effective Dates", "Delayed", "Licensing", "Public Protection", "Securities"]
status: "enacted"
primary_sponsors: ["J. Carpenter"]
version_count: 3
action_count: 22
vote_count: 2
first_action: "2022-03-02T05:00:00+00:00"
last_action: "2022-04-08T04:00:00+00:00"
source: "openstates"
source_identifier: "ocd-bill/c71553fe-1e59-4d0d-8d5f-ceb2175b8fdd"
source_url: "https://apps.legislature.ky.gov/record/22RS/sb298.html"
source_hash: "03e7b06aff70932164188f7f55ade9d5bb95debc01f8f8e63975630ed6ee5962"
vintage: "2026-07-01"
source_snapshot: "https://data.openstates.org/daily/2026-07-01/public.pgdump"
retrieved_at: "2026-07-06"
confidence: "reported"
tags: ["legislation", "bill", "us-ky"]
---

# Kentucky SB 298 (2022RS) — AN ACT relating to persons regulated under the Securities Act of Kentucky.

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.

## Version chain

The bill's text revisions, in order — the diff chain from filing to enrollment.

1. **Introduced** (filed) — [source](https://apps.legislature.ky.gov/recorddocuments/bill/22RS/sb298/orig_bill.pdf)
2. **Acts Chapter 145** (committee substitute) — [source](https://apps.legislature.ky.gov/law/acts/22RS/documents/0145.pdf)
3. **Current/Final** (committee substitute) — [source](https://apps.legislature.ky.gov/recorddocuments/bill/22RS/sb298/bill.pdf)

## Votes

- PASS SB 298 — **pass** (pass) · upper
- No Motion Provided — **pass** (pass) · upper

## Sponsors

- J. Carpenter — primary (person)

## Timeline

The legislative action history — every referral, reading, and vote.

- **2022-03-02T05:00:00+00:00** introduced in Senate `introduction`
- **2022-03-02T05:00:00+00:00** to Committee on Committees (S) `referral-committee`
- **2022-03-03T05:00:00+00:00** to Banking & Insurance (S) `referral-committee`
- **2022-03-15T04:00:00+00:00** reported favorably, 1st reading, to Consent Calendar `committee-passage`
- **2022-03-16T04:00:00+00:00** 2nd reading, to Rules as a consent bill `reading-2`
- **2022-03-17T04:00:00+00:00** posted for passage in the Consent Orders of the Day for Friday, March 18, 2022
- **2022-03-18T04:00:00+00:00** 3rd reading, passed 34-0 `passage, reading-3`
- **2022-03-18T04:00:00+00:00** received in House
- **2022-03-18T04:00:00+00:00** to Committee on Committees (H) `referral-committee`
- **2022-03-22T04:00:00+00:00** to Banking & Insurance (H) `referral-committee`
- **2022-03-23T04:00:00+00:00** reported favorably, 1st reading, to Calendar `committee-passage`
- **2022-03-24T04:00:00+00:00** 2nd reading, to Rules `reading-2`
- **2022-03-24T04:00:00+00:00** posted for passage in the Regular Orders of the Day for Friday, March 25, 2022
- **2022-03-29T04:00:00+00:00** taken from the Orders of the Day
- **2022-03-29T04:00:00+00:00** returned to Rules
- **2022-03-30T04:00:00+00:00** posted for passage in the Consent Orders of the Day for Wednesday, March 30, 2022
- **2022-03-30T04:00:00+00:00** 3rd reading, passed 97-1 `passage, reading-3`
- **2022-03-30T04:00:00+00:00** received in Senate
- **2022-03-30T04:00:00+00:00** enrolled, signed by President of the Senate `passage`
- **2022-03-30T04:00:00+00:00** enrolled, signed by Speaker of the House `passage`
- **2022-03-30T04:00:00+00:00** delivered to Governor
- **2022-04-08T04:00:00+00:00** signed by Governor (Acts Ch. 145) `executive-signature`

## Source

OpenStates / OpenCivicData bulk snapshot [2026-07-01](https://data.openstates.org/daily/2026-07-01/public.pgdump); origin `ocd-bill/c71553fe-1e59-4d0d-8d5f-ceb2175b8fdd`. Confidence: reported (aggregated from official Kentucky legislature records).