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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