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  1. LII
  2. State Regulations
  3. Kansas Administrative Regulations
  4. Agency 81 - OFFICE OF THE SECURITIES COMMISSIONER
  5. Article 14 - INVESTMENT ADVISERS AND INVESTMENT ADVISER REPRESENTATIVES

Article 14 - INVESTMENT ADVISERS AND INVESTMENT ADVISER REPRESENTATIVES

  • State Regulations
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  1. § 81-14-1 - Registration procedures for investment advisers and investment adviser representatives
  2. § 81-14-2 - Investment advisers, investment adviser representatives, and federal covered investment advisers; registration fees
  3. § 81-14-3 - Revoked
  4. § 81-14-4 - Recordkeeping requirements for investment advisers
  5. § 81-14-5 - Dishonest and unethical practices of investment advisers, investment adviser representatives, and federal covered investment advisers
  6. § 81-14-6 - Electronic filing for investment advisers and investment adviser representatives
  7. § 81-14-7 - Notice filing requirements for federal covered investment advisers
  8. § 81-14-8 - Revoked
  9. § 81-14-9 - Custody of client funds or securities; safekeeping; financial reporting
  10. § 81-14-10 - Operational requirements for investment advisers; supervisory procedures; brochure delivery
  11. § 81-14-11 - Kansas private adviser exemption

State regulations are updated quarterly; we currently have two versions available. Below is a comparison between our most recent version and the prior quarterly release. More comparison features will be added as we have more versions to compare.


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State Regulations Toolbox

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