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Forms & Fees

K.A.R. 81-2-1(a) specifies the following forms for securities filings in Kansas:
Form Name
Form Title & Required Use
Fee
Form D
Notice of Exempt Offering of Securities
Required by: K.A.R. 81-5-15 for Rule 506 Offerings fee for late filing:
$250, if timely $500 or 0.01% of sales in Kansas at time of filing up to $5,000, if greater
Required for Uniform Limited Offering Exemption by K.A.R. 81-5-6, and K.A.R. 81-5-8(a)(1) $250
Required for Accredited Investor Exemption by K.A.R. 81-5-13, and K.A.R. 81-5-8(a)(2) $250
Form IKE
Notice of IKE Offering
Required by K.A.R. 81-5-21 (a)(7)
None
Form U-1
Uniform Application to Register Securities
Required by K.A.R. 81-4-1(a)(1) and (a)(5) for registrations by qualification or coordination
0.05% of amount registered with$100 minimum, and $1,500 maximum
Form U-2
Uniform Consent to Service of Process
Required by K.A.R. 81-4-1(a)(1)
None
Form U-2A
Uniform Corporate Resolution
Required by K.A.R. 81-4-1(a)(2), if applicable
None
Form U-7 Disclosure Document (for SCOR applications)
Required by K.A.R. 81-4-2 unless another form of disclosure is allowed under K.A.R. 81-6-1(b)(2); the Form U-1, and same fees above are required
 
Form KSC-1 Sales Report or Renewal Application
Required by K.A.R. 81-4-1(d) for renewals, and by K.A.R. 81-4-1(f) for Final Reports
(Same as original) 0.05% of amount registered with $100 minimum, and $1,500 maximum
Form KSC-15
Solicitation of Interest Form
Required by K.A.R. 81-5-12 (Kansas-based Issuers)
None