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Mission & Services Provided
Mission
The mission of the Office of the Kansas Securities Commissioner (KSC) is to protect and inform Kansas investors; to promote integrity, fairness, and full disclosure in financial services; and to foster capital formation.

Services
KSC provides various services to accomplish the three parts of its mission:
  • To protect and inform Kansas investors by:
    • Encouraging investors to check the registration status of companies and persons offering investments or investment advice in Kansas
    • Investigating potential violations of state securities laws and regulations
    • Prosecuting individuals who commit securities fraud
    • Providing investor education resources to the public
    • Registering broker-dealers, agents, investment advisers, and representatives
    • Registering securities offerings, unless exempt
  • To promote integrity, fairness, and full disclosure in financial services by:
    • Administering regulations to ensure ethical conduct by securities industry professionals, and fair treatment of investors
    • Conducting record examinations of securities industry professionals to ensure their compliance with Kansas laws and regulations
    • Offering continuing education opportunities to help registrants understand their regulatory obligations
    • Requiring delivery of disclosure documents to thoroughly describe offerings and services
  • To foster capital formation by:
    • Distributing information throughout Kansas regarding IKE, which is the Invest Kansas Exemption that is intended to help small businesses and organizations raise up to $1,000,000 in their communities without registration
    • Providing guidance and education to entrepreneurs, attorneys, and underwriters of securities to help ensure their compliance with securities registration or exemption provisions of the Kansas Uniform Securities Act and regulations
    • Registering small-company securities offerings via the Small Company Offering Registration (SCOR) process