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Securities Registration or Exemptions

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1. How can a person determine whether they are offering securities when seeking capital for their business or organization?
2. Which, exemptions from securities registration or "federal covered securities" require a notice filing and fee?
3. Are amendments to Form D required to be filed for a Rule 506 offering?
4. What are the requirements for requesting a “No Action” or “Interpretive Opinion” letter?
5. Is it ok to place ads in print, on the web, use telemarketers or use mass mailings to attract investors in Kansas to raise capital?
6. Are securities issued by not-for-profit organizations exempt from registration?
7. How can an investment offering be made to family and friends to raise start-up capital for a new business in Kansas?
8. If an exemption from registration is not feasible, what is required for registration of securities in Kansas?
9. If officers of a company (the issuer) will be actively involved in soliciting investors and making offers and sales of securities, do they need to be registered with KSC as agents?
10. Can persons planning a securities offering call, email, or meet with KSC staff to learn more about exemption or registration requirements for a securities offering?
11. Can KSC staff recommend an experienced securities lawyer to assist a company and officers with securities law compliance?
12. How long are securities registrations effective, and what is required for renewal of registrations?