Article

Uniform Securities Act

K.S.A. 17-12a101— Citation of act
K.S.A. 17-12a102— Definitions
K.S.A. 17-12a103— References to federal statutes
K.S.A. 17-12a104— References to federal agencies
K.S.A. 17-12a105— Electronic records and signatures
K.S.A. 17-12a106— Reserved
K.S.A. 17-12a201— Exempt securities
K.S.A. 17-12a202— Exempt transactions
K.S.A. 17-12a203— Additional exemptions and waivers
K.S.A. 17-12a204— Denial, suspension, revocation, condition or limitation of exemptions
K.S.A. 17-12a205— Exemption filing fees
K.S.A. 17-12a206— Reserved
K.S.A. 17-12a301— Securities registration requirement
K.S.A. 17-12a302— Notice filing
K.S.A. 17-12a303— Securities registration by coordination
K.S.A. 17-12a304— Securities registration by qualification
K.S.A. 17-12a305— Securities registration filings
K.S.A. 17-12a306— Denial, suspension and revocation of securities registration
K.S.A. 17-12a307— Waiver and modification
K.S.A. 17-12a308— Reserved
K.S.A. 17-12a401— Broker-dealer registration requirement and exemptions
K.S.A. 17-12a402— Agent registration requirement and exemptions
K.S.A. 17-12a403— Investment adviser registration requirement and exemptions
K.S.A. 17-12a404— Investment adviser representative registration requirement and exemptions
K.S.A. 17-12a405— Federal covered investment adviser notice filing requirement
K.S.A. 17-12a406— Registration by broker-dealer, agent, investment adviser and investment adviser representative
K.S.A. 17-12a407— Succession and change in registration of broker-dealer or investment adviser
K.S.A. 17-12a408— Termination of employment or association of agent and investment adviser representative and transfer of employment or association
K.S.A. 17-12a409— Withdrawal of registration of broker-dealer, agent, investment adviser and investment adviser representative
K.S.A. 17-12a410— Filing fees
K.S.A. 17-12a411— Postregistration requirements
K.S.A. 17-12a412— Denial, revocation, suspension, withdrawal, restriction, condition or limitation of registration; grounds for discipline; examinations; procedural requirements for orders
K.S.A. 17-12a413— Reserved
K.S.A. 17-12a501— General fraud
K.S.A. 17-12a502— Prohibited conduct in providing investment advice
K.S.A. 17-12a503— Evidentiary burden
K.S.A. 17-12a504— Filing of sales and advertising literature
K.S.A. 17-12a505— Misleading filings; coercion; obstruction
K.S.A. 17-12a506— Misrepresentations concerning registration or exemption
K.S.A. 17-12a507— Qualified immunity
K.S.A. 17-12a508— Criminal penalties; statute of limitations
K.S.A. 17-12a509— Civil liability
K.S.A. 17-12a510— Rescission offers
K.S.A. 17-12a511— Reserved
K.S.A. 17-12a601— Administration of act; prohibited conduct; remittance of fees; securities act fee fund; investor education and protection; investor education and protection fund
K.S.A. 17-12a601a— Repealed
K.S.A. 17-12a602— Investigations and subpoenas
K.S.A. 17-12a603— Civil enforcement; control person liability
K.S.A. 17-12a604— Administrative enforcement; control person liability
K.S.A. 17-12a605— Rules, forms, orders, interpretive opinions and hearings
K.S.A. 17-12a606— Administrative files and opinions
K.S.A. 17-12a607— Public records; confidentiality
K.S.A. 17-12a608— Uniformity and cooperation with other agencies
K.S.A. 17-12a609— Judicial review
K.S.A. 17-12a610— Jurisdiction
K.S.A. 17-12a611— Service of process
K.S.A. 17-12a612— Severability clause
K.S.A. 17-12a613— Reserved
K.S.A. 17-12a701— Reserved
K.S.A. 17-12a703— Repeals; application of act to existing proceeding and existing rights and duties