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Mission & Services Provided
Mission
The mission of the Office of the Kansas Securities Commissioner (KSC) is to protect and inform Kansas investors; to promote integrity, fairness, and full disclosure in financial services; and to foster capital formation.

The Mission is based on and supported by requirements of the Kansas Uniform Securities Act and the Kansas Loan Brokers Act.

Services
KSC provides various services to accomplish the three parts of its mission:
  • To protect and inform Kansas investors by:
    • Encouraging investors to check the registration status of companies and persons offering investments or investment advice in Kansas
    • Investigating potential violations of state securities laws and regulations
    • Prosecuting individuals who commit securities fraud
    • Providing investor education resources to the public
    • Registering broker-dealers, agents, investment advisers, and representatives
    • Registering securities offerings, unless exempt
  • To promote integrity, fairness, and full disclosure in financial services by:
    • Administering regulations to ensure ethical conduct by securities industry professionals, and fair treatment of investors
    • Conducting record examinations of securities industry professionals to ensure their compliance with Kansas laws and regulations
    • Offering continuing education opportunities to help registrants understand their regulatory obligations
    • Requiring delivery of disclosure documents to thoroughly describe offerings and services
    • Registering and regulating loan brokers that charge up-front fees
  • To foster capital formation by:
    • Distributing information throughout Kansas regarding IKE, which is the Invest Kansas Exemption that is intended to help small businesses and organizations raise up to $1,000,000 in their communities without registration
    • Providing guidance and education to entrepreneurs, attorneys, and underwriters of securities to help ensure their compliance with securities registration or exemption provisions of the Kansas Uniform Securities Act and regulations
    • Registering small-company securities offerings via the Small Company Offering Registration (SCOR) process