Investment Advisers and Investment Adviser Representatives | Midpage

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Kansas Administrative Regulations

Article 14

Investment Advisers and Investment Adviser Representatives

Department of Insurance Assistant Commissioner, Securities Division

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