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Posted on: September 8, 2016

Special Order Issued to Designate OTCQX Market Information As An Electronic Securities Manual

Commissioner Josh Ney issued a Special Order on September 7, 2016 to designate OTCQX marketplace information as a nationally recognized securities manual for purposes of the “manual exemption” provided by K.S.A. 17-12a202(2)(A)(iv) under the Kansas Uniform Securities Act. If all conditions of K.S.A. 17-12a202(2)(A) are met for securities of companies included in a recognized manual, securities registration is not required for transactions by or through Kansas-registered broker-dealers on behalf of Kansas investors. Anyone with questions about the order or exemption may contact Steve Wassom at 785-296-3309 or steven.wassom@ks.gov.

Read a copy of the Special Order here.
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