Kansas Administrative Code

Kansas Administrative Regulations Department of Insurance Assistant Commissioner, Securities Division Article 11.—Administrative Procedure 81-11-8. Formal adjudicative proceedings. (a) Formal adjudicative proceedings shall be conducted on a trial format unless the presiding offic…

Kansas Administrative Regulations Department of Insurance Assistant Commissioner, Securities Division Article 11.—Administrative Procedure 81-11-9. Subpoenas. (a) Subpoenas may be served upon any party or upon any controlling person of any party by serving the attorney for the pa…

Kansas Administrative Regulations Department of Insurance Assistant Commissioner, Securities Division Article 12.—Non-Profit Corporations (not in active use) 81-12-1. Revoked. (Authorized by K.S.A. 17-1261(h); effective, E-70-15, Feb. 4, 1970; effective Jan. 1, 1971; revoked May …

Kansas Administrative Regulations Department of Insurance Assistant Commissioner, Securities Division Article 13.—Instruction Programs for Agent Licensing (not in active use) 81-13-1. Revoked. (Authorized by K.S.A. 17-1270(f); effective Jan. 1, 1972; revoked May 31, 1996.)

Kansas Administrative Regulations Department of Insurance Assistant Commissioner, Securities Division Article 14.—Investment Advisers and Investment Adviser Representatives 81-14-1. Registration procedures for investment advisers and investment adviser representatives. (a) Genera…

Kansas Administrative Regulations Department of Insurance Assistant Commissioner, Securities Division Article 14.—Investment Advisers and Investment Adviser Representatives 81-14-10. Operational requirements for investment advisers; supervisory procedures; brochure delivery. (a) …

Kansas Administrative Regulations Department of Insurance Assistant Commissioner, Securities Division Article 14.—Investment Advisers and Investment Adviser Representatives 81-14-11. Kansas private adviser exemption. (a) Exemption from registration. An investment adviser shall be…

Kansas Administrative Regulations Department of Insurance Assistant Commissioner, Securities Division Article 14.—Investment Advisers and Investment Adviser Representatives 81-14-2. Investment advisers, investment adviser representatives, and federal covered investment advisers; …

Kansas Administrative Regulations Department of Insurance Assistant Commissioner, Securities Division Article 14.—Investment Advisers and Investment Adviser Representatives 81-14-3. Revoked. (Authorized by K.S.A. 2000 Supp. 17-1270; implementing K.S.A. 2000 Supp. 17-1253; effecti…

Kansas Administrative Regulations Department of Insurance Assistant Commissioner, Securities Division Article 14.—Investment Advisers and Investment Adviser Representatives 81-14-4. Recordkeeping requirements for investment advisers. (a) Definitions. For purposes of this regulati…

Kansas Administrative Regulations Department of Insurance Assistant Commissioner, Securities Division Article 14.—Investment Advisers and Investment Adviser Representatives 81-14-5. Dishonest and unethical practices of investment advisers, investment adviser representatives, and …

Kansas Administrative Regulations Department of Insurance Assistant Commissioner, Securities Division Article 14.—Investment Advisers and Investment Adviser Representatives 81-14-6. Electronic filing for investment advisers and investment adviser representatives. (a) Designated e…

Kansas Administrative Regulations Department of Insurance Assistant Commissioner, Securities Division Article 14.—Investment Advisers and Investment Adviser Representatives 81-14-7. Notice filing requirements for federal covered investment advisers. (a) Initial notice filing. The…

Kansas Administrative Regulations Department of Insurance Assistant Commissioner, Securities Division Article 14.—Investment Advisers and Investment Adviser Representatives 81-14-8. Revoked. (Authorized by K.S.A. 2000 Supp. 17-1270; implementing K.S.A. 2000 Supp. 17-1252(m)(2); e…

Kansas Administrative Regulations Department of Insurance Assistant Commissioner, Securities Division Article 14.—Investment Advisers and Investment Adviser Representatives 81-14-9. Custody of client funds or securities; safekeeping; financial reporting. (a) Definitions. For the …

Kansas Administrative Regulations Department of Insurance Assistant Commissioner, Securities Division Article 2.—Filing, Fees and Forms 81-2-1. Forms and adoptions by reference. (a) Forms. Whenever any of these regulations requires the filing of any of the following forms, the fi…

Kansas Administrative Regulations Department of Insurance Assistant Commissioner, Securities Division Article 20.—General Purpose and Applicability (not in active use) 81-20-1. Revoked. (Authorized by K.S.A. 58-3310(a); effective, E-70-34, July 16, 1970; effective Jan. 1, 1971; a…

Kansas Administrative Regulations Department of Insurance Assistant Commissioner, Securities Division Article 20.—General Purpose and Applicability (not in active use) 81-20-2. Revoked. (Authorized by K.S.A. 58-3310(a); effective, E-70-34, July 16, 1970; effective Jan. 1, 1971; a…

Kansas Administrative Regulations Department of Insurance Assistant Commissioner, Securities Division Article 21.—Definition of Terms (not in active use) 81-21-1. Revoked. (Authorized by K.S.A. 58-3310(a); effective, E-70-34, July 16, 1970; effective Jan. 1, 1971; amended Jan. 1,…

Kansas Administrative Regulations Department of Insurance Assistant Commissioner, Securities Division Article 22.—Procedures for Registration (not in active use) 81-22-1. Revoked. (Authorized by K.S.A. 58-3310(a); implementing K.S.A. 58-3305; effective, E-70-34, July 16, 1970; ef…

Kansas Administrative Regulations Department of Insurance Assistant Commissioner, Securities Division Article 22.—Procedures for Registration (not in active use) 81-22-2. Revoked. (Authorized by K.S.A. 58-3310(a); effective, E-70-34, July 16, 1970; effective Jan. 1, 1971; amended…

Kansas Administrative Regulations Department of Insurance Assistant Commissioner, Securities Division Article 22.—Procedures for Registration (not in active use) 81-22-3. Revoked. (Authorized by K.S.A. 58-3310(a); effective, E-70-34, July 16, 1970; effective Jan. 1, 1971; revoked…

Kansas Administrative Regulations Department of Insurance Assistant Commissioner, Securities Division Article 23.—Fees, Maximum Registration and Forms (not in active use) 81-23-1. Revoked. (Authorized by K.S.A. 58-3310(a); effective, E-70-34, July 16, 1970; effective Jan. 1, 1971…

Kansas Administrative Regulations Department of Insurance Assistant Commissioner, Securities Division Article 23.—Fees, Maximum Registration and Forms (not in active use) 81-23-2. Revoked. (Authorized by K.S.A. 58-3310(a); effective, E-70-34, July 16, 1970; effective Jan. 1, 1971…

Kansas Administrative Regulations Department of Insurance Assistant Commissioner, Securities Division Article 23.—Fees, Maximum Registration and Forms (not in active use) 81-23-3. Revoked. (Authorized by K.S.A. 58-3310(a); effective, E-70-34, July 16, 1970; effective Jan. 1, 1971…

Kansas Administrative Regulations Department of Insurance Assistant Commissioner, Securities Division Article 24.—Standards for Approval (not in active use) 81-24-1. Revoked. (Authorized by K.S.A. 58-3310(a); effective, E-70-34, July 16, 1970; effective Jan. 1, 1971; revoked July…

Kansas Administrative Regulations Department of Insurance Assistant Commissioner, Securities Division Article 24.—Standards for Approval (not in active use) 81-24-2. Revoked. (Authorized by K.S.A. 58-3310(a); effective, E-70-34, July 16, 1970; effective Jan. 1, 1971; revoked Oct.…

Kansas Administrative Regulations Department of Insurance Assistant Commissioner, Securities Division Article 24.—Standards for Approval (not in active use) 81-24-3. Revoked. (Authorized by K.S.A. 58-3310(a); effective, E-70-34, July 16, 1970; effective Jan. 1, 1971; revoked Oct.…

Kansas Administrative Regulations Department of Insurance Assistant Commissioner, Securities Division Article 25.—Public Offering Statements (not in active use) 81-25-1. Revoked. through 81-25-3. (Authorized by K.S.A. 58-3310(a); effective, E-70-34, July 16, 1970; effective Jan. …

Kansas Administrative Regulations Department of Insurance Assistant Commissioner, Securities Division Article 25.—Public Offering Statements (not in active use) 81-25-2. Revoked. through 81-25-3. (Authorized by K.S.A. 58-3310(a); effective, E-70-34, July 16, 1970; effective Jan. …

Kansas Administrative Regulations Department of Insurance Assistant Commissioner, Securities Division Article 25.—Public Offering Statements (not in active use) 81-25-3. Revoked. through 81-25-3. (Authorized by K.S.A. 58-3310(a); effective, E-70-34, July 16, 1970; effective Jan. …

Kansas Administrative Regulations Department of Insurance Assistant Commissioner, Securities Division Article 25.—Public Offering Statements (not in active use) 81-25-4. Revoked. (Authorized by K.S.A. 58-3310(a); effective, E-70-34, July 16, 1970; effective Jan. 1, 1971; amended …

Kansas Administrative Regulations Department of Insurance Assistant Commissioner, Securities Division Article 26.—Contracts, Deeds and Title (not in active use) 81-26-1. Revoked. (Authorized by K.S.A. 58-3310(a); effective, E-70-34, July 16, 1970; effective Jan. 1, 1971; revoked …

Kansas Administrative Regulations Department of Insurance Assistant Commissioner, Securities Division Article 26.—Contracts, Deeds and Title (not in active use) 81-26-2. Revoked. (Authorized by K.S.A. 58-3310(a); effective, E-70-34, July 16, 1970; effective Jan. 1, 1971; revoked …

Kansas Administrative Regulations Department of Insurance Assistant Commissioner, Securities Division Article 26.—Contracts, Deeds and Title (not in active use) 81-26-3. Revoked. (Authorized by K.S.A. 58-3310(a); effective, E-70-34, July 16, 1970; effective Jan. 1, 1971; revoked …

Kansas Administrative Regulations Department of Insurance Assistant Commissioner, Securities Division Article 27.—Advertising (not in active use) 81-27-1. Revoked. (Authorized by K.S.A. 58-3310(a); effective, E-70-34, July 16, 1970; effective Jan. 1, 1971; amended Jan. 1, 1972; r…

Kansas Administrative Regulations Department of Insurance Assistant Commissioner, Securities Division Article 27.—Advertising (not in active use) 81-27-2. Revoked. (Authorized by K.S.A. 58-3310(a); effective, E-70-34, July 16, 1970; effective Jan. 1, 1971; revoked Oct. 9, 2015.)…

Kansas Administrative Regulations Department of Insurance Assistant Commissioner, Securities Division Article 28.—Effectiveness and Inspections (not in active use) 81-28-1. Revoked. (Authorized by K.S.A. 58-3310(a); effective, E-70-34, July 16, 1970; effective Jan. 1, 1971; revok…

Kansas Administrative Regulations Department of Insurance Assistant Commissioner, Securities Division Article 28.—Effectiveness and Inspections (not in active use) 81-28-2. Revoked. (Authorized by K.S.A. 58-3310(a); effective, E-70-34, July 16, 1970; effective Jan. 1, 1971; amend…

Kansas Administrative Regulations Department of Insurance Assistant Commissioner, Securities Division Article 29.—Reporting Requirements (not in active use) 81-29-1. Revoked. (Authorized by K.S.A. 58-3310(a); effective, E-70-34, July 16, 1970; effective Jan. 1, 1971; amended Jan.…

Kansas Administrative Regulations Department of Insurance Assistant Commissioner, Securities Division Article 29.—Reporting Requirements (not in active use) 81-29-2. Revoked. (Authorized by K.S.A. 58-3310(a); effective, E-70-34, July 16, 1970; effective Jan. 1, 1971; revoked Oct.…

Kansas Administrative Regulations Department of Insurance Assistant Commissioner, Securities Division Article 3.—Licensing; Broker-Dealers and Agents 81-3-1. Registration procedures for broker-dealers and agents. (a) General provisions. Each applicant shall be at least 18 years o…

Kansas Administrative Regulations Department of Insurance Assistant Commissioner, Securities Division Article 3.—Licensing; Broker-Dealers and Agents 81-3-2. Broker-dealer and agent registration fees. (a) The fee for initial registration or renewal of the registration of each bro…

Kansas Administrative Regulations Department of Insurance Assistant Commissioner, Securities Division Article 3.—Licensing; Broker-Dealers and Agents 81-3-3. Revoked. (Authorized by K.S.A. 1992 Supp. 17-1270(f); implementing K.S.A. 17-1253; effective, T-87-28, Oct. 1, 1986; effec…

Kansas Administrative Regulations Department of Insurance Assistant Commissioner, Securities Division Article 3.—Licensing; Broker-Dealers and Agents 81-3-4. Revoked. (Authorized by K.S.A. 1992 Supp. 17-1270(d); implementing K.S.A. 1992 Supp. 17-1270(d); effective June 28, 1993; …

Kansas Administrative Regulations Department of Insurance Assistant Commissioner, Securities Division Article 3.—Licensing; Broker-Dealers and Agents 81-3-5. Sales of securities at financial institutions. (a) Definitions. For purposes of this regulation, the following definitions…

Kansas Administrative Regulations Department of Insurance Assistant Commissioner, Securities Division Article 3.—Licensing; Broker-Dealers and Agents 81-3-6. Dishonest or unethical practices of broker-dealers and agents. (a) Unethical conduct. "Dishonest or unethical practices," …