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IA Statutes & Regulations
Kansas Uniform Securities Act
K.S.A. 2100 Supp. Section Title
17-12a102 Definitions
Investment Adviser Registration Requirement and Exemptions
IAR Registration Requirement and Exemptions
Federal Covered Investment Adviser Notice Filing Requirement
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
17-12a409 Withdrawal of Registration of BD, Agent, IA, and IAR
17-12a410 Filing Fees
17-12a411 Postregistration Requirements
17-12a412 Denial, Revocation, Suspension, Withdrawal…of Registration
17-12a502 Prohibited Conduct in Providing Investment Advice
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
81-14-1 Registration procedures for investment advisers and investments adviser representatives
81-14-2 Registration fees for IAs, IARs, and federal covered investment advisers
81-14-4 Recordkeeping requirements for investment advisers
81-14-5 Dishonest and unethical practices of IAs, IARs, and federal covered advisers
81-14-6 Electronic filing for investment advisers and investment adviser representatives
81-14-7 Notice filing requirements for federal covered investment advisers
81-14-9 * Custody, safekeeping, financial reporting
81-14-10 Operational requirements, supervisory procedures, brochure delivery
81-14-11 Kansas private adviser exemption

*See Special Order to correct provisions of K.A.R. 81-14-9(b)(2)(B)