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BD Registration Requirements
Online Application
Applications for registration as a broker-dealer in Kansas shall be filed on Form BD with the Central Registration Depository (CRD) as required by K.A.R. 81-3-1(b) along with a fee of $200 as required by K.A.R. 81-3-2(a), unless the provisions of K.A.R. 81-3-1(b)(1)(C) apply for a BD that is not required to file with the SEC or FINRA.

Required Documents

Each applicant for initial registration as a broker-dealer must also file the following documents with the Office of the Kansas Securities Commissioner (KSC) at 109 SW 9th Street, Suite 600, Topeka, Kansas, 66612:
  • Audited financial statements for the applicant’s last fiscal year, if required by the SEC and FINRA; and
  • Part II of the applicant’s most recent FOCUS report that includes a balance sheet dated within 90 days of filing for registration, if required by the SEC and FINRA; or
  • A balance sheet dated within 90 days of filing for registration with notes presented in conformity with GAAP and a net capital computation.

Amendments, Renewals or Withdrawals
All filings to amend Form BD, to renew registration or to withdraw registration using Form BDW must be submitted to CRD, unless the provisions of K.A.R. 81-3-1(b)(1)(C) apply for direct filings to KSC.