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KANSAS SECURITIES REGULATIONS

VIEWS: 13 PAGES: 2

									                                    KANSAS SECURITIES REGULATIONS
                                                       TABLE OF CONTENTS

                                                                     __________

Article 1. Definition of Terms                                                                                                                     Page
81-1-1 Definition of terms ..............................................................................................................................1

Article 2. Filling, Fees, and Forms
81-2-1 Forms and adoptions by reference ........................................................................................................3

Article 3. Licensing; Broker-dealers and Agents
81-3-1 Registration procedures for broker-dealers and agents. ..........................................................................4
81-3-2 Broker-dealer and agent registration fees. .............................................................................................6
81-3-3 Revoked .............................................................................................................................................6
81-3-4 Revoked .............................................................................................................................................6
81-3-5 Sales of securities at financial institutions .............................................................................................6
81-3-6 Dishonest or unethical practices of broker-dealers and agents.................................................................8
81-3-7 Supervisory, financial, recordkeeping, net capital, and operational requirements. ..................................14

Article 4. Registration of Securities
81-4-1 Registration of securities ...................................................................................................................15
81-4-2 Small company offering registration (SCOR). .....................................................................................16
81-4-3 Revoked ...........................................................................................................................................16
81-4-4 Registration requirements for not-for-profit issuers .............................................................................16

Article 5. Exemptions
81-5-1 Revoked ...........................................................................................................................................16
81-5-2 Revoked ...........................................................................................................................................16
81-5-3 Isolated nonissuer transactions ...........................................................................................................16
81-5-4 Revoked ...........................................................................................................................................17
81-5-5 Revoked ...........................................................................................................................................17
81-5-6 Uniform limited offering exemption (ULOE) for rule 505 offerings .....................................................17
81-5-7 Exchange exemption .........................................................................................................................18
81-5-8 Fees for exemption filings and interpretive opinions ............................................................................18
81-5-9 Revoked ...........................................................................................................................................19
81-5-10 Oil and gas exemptions....................................................................................................................19
81-5-11 Revoked .........................................................................................................................................20
81-5-12 Solicitations of interest before the filing of the registration statement..................................................20
81-5-13 Accredited investor exemption .........................................................................................................22
81-5-14 Notice filings and fees for offerings of investment company securities................................................23
81-5-15 Notice filings and fees for rule 506 offerings. ....................................................................................23
81-5-16 Exemption for internet communication .............................................................................................24
81-5-17 Standard manuals exemption ...........................................................................................................25
81-5-18 Notice filing requirements for securities of agricultural associations ...................................................25
81-5-19 Cross-border trading exemption .......................................................................................................26
81-5-20 Kansas Venture Capital, Inc. exemption ...........................................................................................26
Article 6. Prospectus
81-6-1 Prospectus. .......................................................................................................................................26

Article 7. Policies Relating to Registration
81-7-1 General statements of policy for registration of securities ....................................................................27
81-7-2 Statements of policy for specific types of securities offerings ...............................................................28
81-7-3 Financial statements required for securities registration .......................................................................29

Article 8. Revoked

Article 9. Revoked

Article 10. Advertising
81-10-1 Advertising .....................................................................................................................................29

Article 11. Administrative Procedure
81-11-1 Revoked ..........................................................................................................................................30
81-11-2 Scope of administrative procedure regulations...................................................................................30
81-11-3 Form of pleadings. ..........................................................................................................................30
81-11-4 Summary adjudicative proceedings ..................................................................................................30
81-11-5 Request for hearing. ........................................................................................................................30
81-11-6 Conference adjudicative proceedings ................................................................................................31
81-11-7 Appearances. ..................................................................................................................................31
81-11-8 Formal adjudicative proceedings. .....................................................................................................31
81-11-9 Subpoenas. .....................................................................................................................................32
81-11-10 Evidence.......................................................................................................................................32
81-11-11 Hearing officers. ...........................................................................................................................32
81-11-12 Immunity. .....................................................................................................................................32

Article 12. Revoked

Article 13. Revoked

Article 14. Investment Advisers and Investments Adviser Representatives
81-14-1 Registration procedures for investment advisers and investments adviser representatives .....................33
81-14-2 Registration fees for IAs, IARs, and federal covered investment advisers. ...........................................35
81-14-3 Revoked .........................................................................................................................................35
81-14-4 Recordkeeping requirements for investment advisers .........................................................................35
81-14-5 Dishonest and unethical practices of IAs, IARs, and federal covered advisers......................................41
81-14-6 Electronic filing for investment advisers and investment adviser representatives. ................................41
81-14-7 Notice filing requirements for federal covered investment advisers. ....................................................47
81-14-8 Revoked .........................................................................................................................................48
81-14-9 Custody; safekeeping; financial reporting; minimum net worth; bonding ............................................48
81-14-10 Operational requirements; supervisory procedures; brochure delivery. ..............................................52

								
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