Kansas Administrative Code

Kansas Administrative Regulations Department of Insurance Assistant Commissioner, Securities Division Article 36.—Economic Development by Cities; Revenue Bonds (not in active use) 81-36-2. Revoked. (Including Appendix) (Authorized by K.S.A. 1977 Supp. 12-1744b; effective, E-79- 5…

Kansas Administrative Regulations Department of Insurance Assistant Commissioner, Securities Division Article 4.—Registration of Securities 81-4-1. Registration of securities. (a) Original applications. The following documents and fee shall be required with each original applicat…

Kansas Administrative Regulations Department of Insurance Assistant Commissioner, Securities Division Article 4.—Registration of Securities 81-4-2. Small company offering registration (SCOR). (a) Any application for registration of securities by qualification may be filed using f…

Kansas Administrative Regulations Department of Insurance Assistant Commissioner, Securities Division Article 4.—Registration of Securities 81-4-3. Revoked. (Authorized by K.S.A. 17-1270(f); implementing K.S.A. 17-1270(f); effective Nov. 12, 1991; revoked Oct. 26, 2001.)

Kansas Administrative Regulations Department of Insurance Assistant Commissioner, Securities Division Article 4.—Registration of Securities 81-4-4. Registration requirements for not-for-profit issuers. Before the offer or sale of any note, bond, debenture, or other evidence of in…

Kansas Administrative Regulations Department of Insurance Assistant Commissioner, Securities Division Article 5.—Exemptions 81-5-1. Revoked. (Authorized by K.S.A. 1982 Supp. 17-1270(f); implementing K.S.A. 1982 Supp. 17-1261(g); effective Jan. 1, 1966; amended, E-77-40, Aug. 12, …

Kansas Administrative Regulations Department of Insurance Assistant Commissioner, Securities Division Article 5.—Exemptions 81-5-10. Oil and gas exemptions. (a) Definitions. For purposes of this regulation, the following definitions shall apply: (1) "Commission" shall be defined …

Kansas Administrative Regulations Department of Insurance Assistant Commissioner, Securities Division Article 5.—Exemptions 81-5-11. Revoked. (Authorized by and implementing K.S.A. 17-1270(f); effective Jan. 31, 1994; revoked Jan. 19, 2007.)

Kansas Administrative Regulations Department of Insurance Assistant Commissioner, Securities Division Article 5.—Exemptions 81-5-12. Solicitations of interest before the filing of the registration statement. (a) Exemption. Each offer, but not a sale, of a security made by or on b…

Kansas Administrative Regulations Department of Insurance Assistant Commissioner, Securities Division Article 5.—Exemptions 81-5-13. Accredited investor exemption. (a) Exemption. Each offer or sale of a security by an issuer shall be exempt from the registration requirements of K…

Kansas Administrative Regulations Department of Insurance Assistant Commissioner, Securities Division Article 5.—Exemptions 81-5-14. Notice filings and fees for offerings of investment company securities. (a) Before the initial offer in this state of a security that is a federal …

Kansas Administrative Regulations Department of Insurance Assistant Commissioner, Securities Division Article 5.—Exemptions 81-5-15. Notice filings and fees for rule 506 offerings. (a) Each issuer of a security under SEC rule 506, 17 C.F.R. 230.506, as adopted by reference in K.A…

Kansas Administrative Regulations Department of Insurance Assistant Commissioner, Securities Division Article 5.—Exemptions 81-5-16. Exemption for internet communication. (a) General communication. Communication concerning a security directed generally to anyone having access to …

Kansas Administrative Regulations Department of Insurance Assistant Commissioner, Securities Division Article 5.—Exemptions 81-5-17. Standard manuals exemption. The following printed or electronic versions of securities manuals shall be designated by the administrator for use und…

Kansas Administrative Regulations Department of Insurance Assistant Commissioner, Securities Division Article 5.—Exemptions 81-5-18. Notice filing requirements for securities of agricultural associations. (a) Exemption. The sale of a security of a cooperative organized under K.S.…

Kansas Administrative Regulations Department of Insurance Assistant Commissioner, Securities Division Article 5.—Exemptions 81-5-19. Cross-border trading exemption. (a) Exemption from broker-dealer registration. Each broker-dealer that is a resident of Canada and has no place of …

Kansas Administrative Regulations Department of Insurance Assistant Commissioner, Securities Division Article 5.—Exemptions 81-5-2. Revoked. (Authorized by K.S.A. 1984 Supp. 17-1270(f); implementing K.S.A. 1984 Supp. 17-1261(h); effective May 1, 1983; amended, T-86-38, Dec. 11, 1…

Kansas Administrative Regulations Department of Insurance Assistant Commissioner, Securities Division Article 5.—Exemptions 81-5-20. Kansas venture capital, inc. exemption. 81-5-20. Kansas venture capital, inc. exemption. The offer or sale of any security issued by Kansas venture…

Kansas Administrative Regulations Department of Insurance Assistant Commissioner, Securities Division Article 5.—Exemptions 81-5-21. Invest Kansas exemption. (a) Exemption from registration requirements. The offer or sale of a security by an issuer shall be exempt from the requir…

Kansas Administrative Regulations Department of Insurance Assistant Commissioner, Securities Division Article 5.—Exemptions 81-5-3. Exemption for isolated nonissuer transactions. (a) An "isolated nonissuer transaction" under K.S.A. 17-12a202(1), and amendments thereto, shall mean…

Kansas Administrative Regulations Department of Insurance Assistant Commissioner, Securities Division Article 5.—Exemptions 81-5-4. Revoked. (Authorized by K.S.A. 17-1270(f); implementing K.S.A. 17-1262(c); effective, T-83-40, Nov. 23, 1982; effective May 1, 1983; amended May 1, …

Kansas Administrative Regulations Department of Insurance Assistant Commissioner, Securities Division Article 5.—Exemptions 81-5-5. Revoked. (Authorized by K.S.A. 1982 Supp. 17-1270(f); implementing K.S.A. 1982 Supp. 17-1262(f); effective, T-83-40, Nov. 23, 1982; effective May 1,…

Kansas Administrative Regulations Department of Insurance Assistant Commissioner, Securities Division Article 5.—Exemptions 81-5-6. Uniform limited offering exemption for rule 505 offerings. (a) Exemption. Each transaction made in compliance with SEC regulation D, rule 505, 17 C.…

Kansas Administrative Regulations Department of Insurance Assistant Commissioner, Securities Division Article 5.—Exemptions 81-5-7. Exchange exemption. A security shall be exempt under K.S.A. 17-12a201(6)(B), and amendments thereto, if the security is listed or authorized for lis…

Kansas Administrative Regulations Department of Insurance Assistant Commissioner, Securities Division Article 5.—Exemptions 81-5-8. Fees for exemption filings and interpretive opinions. (a) A fee of $250 shall be remitted with each form D or notice filed in connection with the fo…

Kansas Administrative Regulations Department of Insurance Assistant Commissioner, Securities Division Article 5.—Exemptions 81-5-9. Revoked. (Authorized by K.S.A. 17-1270(f); implementing K.S.A. 17-1261(g) and 17-1259; effective Nov. 12, 1991; amended June 28, 1993; amended May 3…

Kansas Administrative Regulations Department of Insurance Assistant Commissioner, Securities Division Article 6.—Prospectus 81-6-1. Prospectus. (a) Filing. Each application for the registration of securities shall include the prospectus to be used in connection with the proposed …

Kansas Administrative Regulations Department of Insurance Assistant Commissioner, Securities Division Article 7.—Policy Relating to Registration 81-7-1. General statements of policy for registration of securities. (a) NASAA statements of policy. Each registration statement shall …

Kansas Administrative Regulations Department of Insurance Assistant Commissioner, Securities Division Article 7.—Policy Relating to Registration 81-7-2. Statements of policy for specific types of securities offerings. (a) If one of the NASAA guidelines or statements of policy ado…

Kansas Administrative Regulations Department of Insurance Assistant Commissioner, Securities Division Article 7.—Policy Relating to Registration 81-7-3. Financial statements required for securities registration. (a) The historical financial statements in each registration stateme…

Kansas Administrative Regulations Department of Insurance Assistant Commissioner, Securities Division Article 8.—Effectiveness and Post-Effective Requirements (not in active use) 81-8-1. Revoked. (Authorized by K.S.A. 1986 Supp. 17-1270(f); implementing K.S.A. 17-1256; 17-1257; 1…

Kansas Administrative Regulations Department of Insurance Assistant Commissioner, Securities Division Article 9.—Annual Reports (not in active use) 81-9-1. Revoked. (Authorized by K.S.A. 17-1270(f); implementing K.S.A. 17-1259 as amended by SB 66; effective Jan. 1, 1966; amended,…

Kansas Administrative Regulations Kansas Corporation Commission Article 1.—Rules of Practice and Procedure 82-1-201. Revoked. (Authorized by and implementing K.S.A. 1989 Supp. 55-604, K.S.A. 55-704, 66-106; effective Jan. 1, 1966; amended Feb. 15, 1977; amended July 23, 1990; rev…

Kansas Administrative Regulations Kansas Corporation Commission Article 1.—Rules of Practice and Procedure 82-1-202. Conducting business before the commission. (a) Unless otherwise required by law, the requirements of these regulations may be waived by the commission if good caus…

Kansas Administrative Regulations Kansas Corporation Commission Article 1.—Rules of Practice and Procedure 82-1-203. Revoked. (Authorized by K.S.A. 55-604, 55-704, 66-106; effective Jan. 1, 1966; amended Feb. 15, 1977; revoked May 1, 1985.)

Kansas Administrative Regulations Kansas Corporation Commission Article 1.—Rules of Practice and Procedure 82-1-204. Definitions. As used in these regulations, the following definitions shall apply: (a) "Applicant" means any party on whose behalf an application for authority or p…

Kansas Administrative Regulations Kansas Corporation Commission Article 1.—Rules of Practice and Procedure 82-1-204a. Classification of public utilities for filing purposes. Public utilities shall be classified as follows for the purposes of filing with the commission. (a) Electr…

Kansas Administrative Regulations Kansas Corporation Commission Article 1.—Rules of Practice and Procedure 82-1-205. Office hours. All offices of the state corporation commission shall be open to the public from 8:00 a.m. to 5:00 p.m. each day other than Saturday and Sunday, exce…

Kansas Administrative Regulations Kansas Corporation Commission Article 1.—Rules of Practice and Procedure 82-1-206. Communications. (a) All written communications to the commission shall be addressed to the executive director of the commission at its Topeka office, unless otherw…

Kansas Administrative Regulations Kansas Corporation Commission Article 1.—Rules of Practice and Procedure 82-1-207. Ex parte communications in non-KAPA proceedings. (a) (1) After the commission has determined and announced that a hearing shall be conducted in a proceeding and be…

Kansas Administrative Regulations Kansas Corporation Commission Article 1.—Rules of Practice and Procedure 82-1-208. Sessions. (a) Public sessions of the commission for hearing evidence, oral arguments, public conferences, and public hearings before the commission, a commissioner…

Kansas Administrative Regulations Kansas Corporation Commission Article 1.—Rules of Practice and Procedure 82-1-209. Revoked. (Authorized by K.S.A. 55-604, 55-704, 66-106; effective Jan. 1, 1966; revoked Feb. 15, 1977.)

Kansas Administrative Regulations Kansas Corporation Commission Article 1.—Rules of Practice and Procedure 82-1-210. Revoked. (Authorized by K.S.A. 55-604, 55-704, 66-106; effective Jan. 1, 1966; revoked Feb. 15, 1977.)

Kansas Administrative Regulations Kansas Corporation Commission Article 1.—Rules of Practice and Procedure 82-1-211. Revoked. (Authorized by K.S.A. 55-604, 55-704, 66-106; effective Jan. 1, 1966; revoked Feb. 15, 1977.)

Kansas Administrative Regulations Kansas Corporation Commission Article 1.—Rules of Practice and Procedure 82-1-212. Dockets. Each matter coming before the commission and requiring a decision by the commission shall be known as a docket and shall receive a docket number and a des…

Kansas Administrative Regulations Kansas Corporation Commission Article 1.—Rules of Practice and Procedure 82-1-213. Revoked. (Authorized by K.S.A. 55-604, 55-704, 66-106; effective Jan. 1, 1966; revoked Feb. 15, 1977.)

Kansas Administrative Regulations Kansas Corporation Commission Article 1.—Rules of Practice and Procedure 82-1-214. Commencement of a proceeding. A proceeding shall be commenced either by the filing of an application, a complaint, or a petition, or by the issuance of an order of…