All registration questions and filings must be
directed to our Topeka office.

Kansas Forms

• KSC-1 Sales Report or Renewal Application to report sales of securities in Kansas during the registration period, or to report sales and extend the registration for another year.

Broker-Dealers and Investment Advisers

• Broker-Dealer Requirements
• Notice to Foreign Corporations
• Investment Adviser Requirements
• Submission of Form ADV Part II through the IARD System
• Investment Adviser Notice Filing Requirements
• Investment Adviser Representative Exam Requirements
• Uniform Forms for CRD Registration
• IARD Information and Forms
• Electronically Editable ADV Forms

Kansas Registered Investment Adviser Guidelines

• Booklet (PDF format)
  This publication is not all inclusive but is intended to address
  those areas that are most commonly misunderstood by Kansas
  Registered Investment Advisers. It is recommended that all
  Kansas Registered Investment Advisers review the statutes
  and regulations that pertain to their business activities.

Corporate Finance

• Raising Capital in Kansas: Issues to Consider
• NEW - Kansas Form D Bulletin - Effective March 16, 2009
• Form D Notice of Sale of Securities Pursuant to Regulation D, Section 4(6), and/or Uniform Limited Offering Exemption
• Small Corporate Offering Registration (SCOR) Information: Overview   |   SCOR Forms
• Regulations and Forms for Exemptions from Registration available from the SEC
• Midwest Regional Review Program Website

Securities Industry Links

• North American Securities Administrators Association
• U.S. Securities and Exchange Commission
• Financial Industry Regulatory Authority
• Securities Industry Association