Click to Home
Go To Search

Broker-Dealers & Agents

Show All Answers

1. Are the registration requirements listed on your website?
2. What exemptions from registration are available for Broker-Dealers?
3. Is there a de minimis exemption?
4. Do broker-dealers and agents need to renew annually?
5. Do broker-dealers need to file their annual audited financial statements with your office?
6. What are the initial registration fees for broker-dealers and agents?
7. What are the registration renewal fees?
8. Does Kansas require branch office registration?
9. What are the examination requirements for agents of broker-dealers?
10. Can an agent be registered simultaneously with more than one broker-dealer (dual registration)?