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Licensing; Broker-Dealers and Agents | Midpage
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Kansas Administrative Regulations
81
Article 3
Licensing; Broker-Dealers and Agents
Department of Insurance Assistant Commissioner, Securities Division
81-3-1
Registration procedures for broker-dealers and agents.
81-3-2
Broker-dealer and agent registration fees.
81-3-5
Sales of securities at financial institutions.
81-3-6
Dishonest or unethical practices of broker-dealers and agents.
81-3-7
Supervisory, financial reporting, recordkeeping, net capital, and operational requirements for broker-dealers.