Kansas Statutes
Chapter 17 - Corporations
Article 12a - Uniform Securities Act

17-12a,101 Citation of act. - 17-12a101. Citation of act. K.S.A. 17-12a101 through 17-12a703, and amendments...

17-12a,102 Definitions. - 17-12a102. Definitions. In this act, unless the context otherwise requires:...

17-12a,103 References to federal statutes. - 17-12a103. References to federal statutes. "Securities act of 1933" (15...

17-12a,104 References to federal agencies. - 17-12a104. References to federal agencies. A reference in this act...

17-12a,105 Electronic records and signatures. - 17-12a105. Electronic records and signatures. This act modifies, limits, and...

17-12a,201 Exempt securities. - 17-12a201. Exempt securities. The following securities are exempt from the...

17-12a,202 Exempt transactions. - 17-12a202. Exempt transactions. The following transactions are exempt from the...

17-12a,203 Additional exemptions and waivers. - 17-12a203. Additional exemptions and waivers. A rule adopted or order...

17-12a,204 Denial, suspension, revocation, condition or limitation of exemptions. - 17-12a204. Denial, suspension, revocation, condition or limitation of exemptions. (a)...

17-12a,205 Exemption filing fees. - 17-12a205. Exemption filing fees. The administrator may by rules and...

17-12a,301 Securities registration requirement. - 17-12a301. Securities registration requirement. It is unlawful for a person...

17-12a,302 Notice filing. - 17-12a302. Notice filing. (a) Required filing of records. With respect...

17-12a,303 Securities registration by coordination. - 17-12a303. Securities registration by coordination. (a) Registration permitted. A security...

17-12a,304 Securities registration by qualification. - 17-12a304. Securities registration by qualification. (a) Registration permitted. A security...

17-12a,305 Securities registration filings. - 17-12a305. Securities registration filings. (a) Who may file. A registration...

17-12a,306 Denial, suspension and revocation of securities registration. - 17-12a306. Denial, suspension and revocation of securities registration. (a) Stop...

17-12a,307 Waiver and modification. - 17-12a307. Waiver and modification. The administrator may waive or modify,...

17-12a,401 Broker-dealer registration requirement and exemptions. - 17-12a401. Broker-dealer registration requirement and exemptions. (a) Registration requirement. It...

17-12a,402 Agent registration requirement and exemptions. - 17-12a402. Agent registration requirement and exemptions. (a) Registration requirement. It...

17-12a,403 Investment adviser registration requirement and exemptions. - 17-12a403. Investment adviser registration requirement and exemptions. (a) Registration requirement....

17-12a,404 Investment adviser representative registration requirement and exemptions. - 17-12a404. Investment adviser representative registration requirement and exemptions. (a) Registration...

17-12a,405 Federal covered investment adviser notice filing requirement. - 17-12a405. Federal covered investment adviser notice filing requirement. (a) Notice...

17-12a,406 Registration by broker-dealer, agent, investment adviser and investment adviser representative. - 17-12a406. Registration by broker-dealer, agent, investment adviser and investment adviser...

17-12a,407 Succession and change in registration of broker-dealer or investment adviser. - 17-12a407. Succession and change in registration of broker-dealer or investment...

17-12a,408 Termination of employment or association of agent and investment adviser representative and transfer of employment or association. - 17-12a408. Termination of employment or association of agent and investment...

17-12a,409 Withdrawal of registration of broker-dealer, agent, investment adviser and investment adviser representative. - 17-12a409. Withdrawal of registration of broker-dealer, agent, investment adviser and...

17-12a,410 Filing fees. - 17-12a410. Filing fees. (a) Filing fees. The administrator shall establish...

17-12a,411 Postregistration requirements. - 17-12a411. Postregistration requirements. (a) Financial requirements. Subject to section 15(i)...

17-12a,412 Denial, revocation, suspension, withdrawal, restriction, condition or limitation of registration. - 17-12a412. Denial, revocation, suspension, withdrawal, restriction, condition or limitation of...

17-12a,501 General fraud. - 17-12a501. General fraud. It is unlawful for a person, in...

17-12a,502 Prohibited conduct in providing investment advice. - 17-12a502. Prohibited conduct in providing investment advice. (a) Fraud in...

17-12a,503 Evidentiary burden. - 17-12a503. Evidentiary burden. (a) Civil. In a civil action or...

17-12a,504 Filing of sales and advertising literature. - 17-12a504. Filing of sales and advertising literature. (a) Filing requirement....

17-12a,505 Misleading filings; coercion; obstruction. - 17-12a505. Misleading filings; coercion; obstruction. (a) It is unlawful for...

17-12a,506 Misrepresentations concerning registration or exemption. - 17-12a506. Misrepresentations concerning registration or exemption. The filing of an...

17-12a,507 Qualified immunity. - 17-12a507. Qualified immunity. A broker-dealer, agent, investment adviser, federal covered...

17-12a,508 Criminal penalties; statute of limitations. - 17-12a508. Criminal penalties; statute of limitations. (a) Criminal penalties. (1)...

17-12a,509 Civil liability. - 17-12a509. Civil liability. (a) Securities litigation uniform standards act. Enforcement...

17-12a,510 Rescission offers. - 17-12a510. Rescission offers. A purchaser, seller, or recipient of investment...

17-12a,601 Administration; investor education and protection fund. - 17-12a601. Administration; investor education and protection fund. (a) Administration. (1)...

17-12a,602 Investigations and subpoenas. - 17-12a602. Investigations and subpoenas. (a) Authority to investigate. The administrator...

17-12a,603 Civil enforcement. - 17-12a603. Civil enforcement. (a) Civil action instituted by administrator. If...

17-12a,604 Administrative enforcement. - 17-12a604. Administrative enforcement. (a) Cease and desist order. If the...

17-12a,605 Rules, forms, orders, interpretive opinions and hearings. - 17-12a605. Rules, forms, orders, interpretive opinions and hearings. (a) Issuance...

17-12a,606 Administrative files and opinions. - 17-12a606. Administrative files and opinions. (a) Public register of filings....

17-12a,607 Public records; confidentiality. - 17-12a607. Public records; confidentiality. (a) Presumption of public records. Except...

17-12a,608 Uniformity and cooperation with other agencies. - 17-12a608. Uniformity and cooperation with other agencies. (a) Objective of...

17-12a,609 Judicial review. - 17-12a609. Judicial review. A final order issued by the administrator...

17-12a,610 Jurisdiction. - 17-12a610. Jurisdiction. (a) Sales and offers to sell. K.S.A. 17-12a301,...

17-12a,611 Service of process. - 17-12a611. Service of process. (a) Signed consent to service of...

17-12a,612 Severability clause. - 17-12a612. Severability clause. If any provision of this act or...

17-12a,703 Repeals; application of act to existing proceeding and existing rights and duties. - 17-12a703. Repeals; application of act to existing proceeding and existing...