IA Statutes & Regulations
Kansas Uniform Securities Act
| K.S.A. 2100 Supp. |
Section Title |
| 17-12a102 |
Definitions
|
17-12a403
|
Investment Adviser Registration Requirement and Exemptions
|
17-12a404
|
IAR Registration Requirement and Exemptions
|
17-12a405
|
Federal Covered Investment Adviser Notice Filing Requirement
|
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 |
| 17-12a409 |
Withdrawal of Registration of BD, Agent, IA, and IAR |
| 17-12a410 |
Filing Fees |
| 17-12a411 |
Postregistration Requirements |
| 17-12a412 |
Denial, Revocation, Suspension, Withdrawal…of Registration |
| 17-12a502 |
Prohibited Conduct in Providing Investment Advice |
| 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 |
| 81-14-1 |
Registration procedures for investment advisers and investments adviser representatives |
| 81-14-2 |
Registration fees for IAs, IARs, and federal covered investment advisers |
| 81-14-4 |
Recordkeeping requirements for investment advisers |
| 81-14-5 |
Dishonest and unethical practices of IAs, IARs, and federal covered advisers |
| 81-14-6 |
Electronic filing for investment advisers and investment adviser representatives |
| 81-14-7 |
Notice filing requirements for federal covered investment advisers |
| 81-14-9 |
Custody, safekeeping, financial reporting, minimum net worth, bonding |
| 81-14-10 |
Operational requirements, supervisory procedures, brochure delivery |
|
|
