BD Statutes & Regulations
Kansas Uniform Securities Act
| K.S.A. 2010 Supp. |
Section Title
|
| 17-12a102 |
Definitions |
| 17-12a401 |
Broker-Dealer Registration Requirement and Exemptions |
| 17-12a402 |
Agent Registration Requirement and Exemptions |
| 17-12a406 |
Registration by BD, Agent, IA, and IAR |
| 17-12a407 |
Succession and Change in Registration of BD or IA |
| 17-12a408 |
Termination or Transfer of Employment…of Agent and IAR Withdrawal of |
| 17-12a409 |
Registration of BD, Agent, IA, and IAR |
| 17-12a410 |
Filing Fees |
| 17-12a411 |
Postregistration Requirements |
| 17-12a412 |
Denial, Revocation, Suspension, Withdrawal…of Registration |
| 17-12a507 |
Qualified Immunity |
| 17-12a606 |
Administrative Files and Opinions |
| 17-12a607 |
Public Records; Confidentiality |
Kansas Securities Regulations
| K.A.R. |
Section Title
|
| 81-1-1 |
Definition of terms |
| 81-2-1 |
Forms and adoptions by reference |
| 81-3-1 |
Registration procedures for broker dealers and agents |
| 81-3-2 |
Broker dealer and agent registration fees |
| 81-3-5 |
Sales of securities at financial institutions |
| 81-3-6 |
Dishonest or unethical practices of broker-dealers and agents |
| 81-3-7 |
Supervisory, financial, recordkeeping, net capital, and operational requirements |
| 81-5-3 |
Isolated nonissuer transactions |
| 81-5-16 |
Exemption for internet communication |
| 81-5-17 |
Standard manuals exemption |
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