Click to Home
Go To Search

Broker-Dealers & Agents

Show All Answers

1. Are the registration requirements listed on your website?
2. What exemptions from registration are available for Broker-Dealers?
3. Is there a de minimis exemption?
4. Do broker-dealers and agents need to renew annually?
5. Do broker-dealers need to file their annual audited financial statements with your office?
6. What are the initial registration fees for broker-dealers and agents?
7. What are the registration renewal fees?
8. Does Kansas require branch office registration?
9. What are the examination requirements for agents of broker-dealers?
10. Can an agent be registered simultaneously with more than one broker-dealer (dual registration)?

Investment Advisers & Investment Adviser Representatives

Show All Answers

1. Are the registration requirements on your website?
2. Is there a de minimis exemption for state-registered Investment Advisers?
3. Do investment advisers and investment adviser representatives need to renew annually?
4. Do investment advisers need to file their annual financial statements with your office?
5. What are the initial registration fees for investment advisers and investment adviser representatives?
6. What are the registration renewal fees?
7. Does Kansas require branch office registration?
8. What are the investment adviser representative examination requirements?
9. Can an investment adviser representative be registered simultaneously with more than one investment adviser (dual registration)?

Investors

Show All Answers

1. I found an old stock certificate. How do I find out if it still has any value?
2. I lost my stock certificate. What do I do?
3. There has been a delay in receiving my stock certificate. What can I do?

Securities Registration or Exemptions

Show All Answers

1. How can a person determine whether they are offering securities when seeking capital for their business or organization?
2. Which, exemptions from securities registration or "federal covered securities" require a notice filing and fee?
3. Are amendments to Form D required to be filed for a Rule 506 offering?
4. What are the requirements for requesting a “No Action” or “Interpretive Opinion” letter?
5. Is it ok to place ads in print, on the web, use telemarketers or use mass mailings to attract investors in Kansas to raise capital?
6. Are securities issued by not-for-profit organizations exempt from registration?
7. How can an investment offering be made to family and friends to raise start-up capital for a new business in Kansas?
8. If an exemption from registration is not feasible, what is required for registration of securities in Kansas?
9. If officers of a company (the issuer) will be actively involved in soliciting investors and making offers and sales of securities, do they need to be registered with KSC as agents?
10. Can persons planning a securities offering call, email, or meet with KSC staff to learn more about exemption or registration requirements for a securities offering?
11. Can KSC staff recommend an experienced securities lawyer to assist a company and officers with securities law compliance?
12. How long are securities registrations effective, and what is required for renewal of registrations?