Kansas Administrative Regulations
Agency 81 - OFFICE OF THE SECURITIES COMMISSIONER
Article 14 - INVESTMENT ADVISERS AND INVESTMENT ADVISER REPRESENTATIVES
- Section 81-14-1 - Registration procedures for investment advisers and investment adviser representatives
- Section 81-14-2 - Investment advisers, investment adviser representatives, and federal covered investment advisers; registration fees
- Section 81-14-3 - Revoked
- Section 81-14-4 - Recordkeeping requirements for investment advisers
- Section 81-14-5 - Dishonest and unethical practices of investment advisers, investment adviser representatives, and federal covered investment advisers
- Section 81-14-6 - Electronic filing for investment advisers and investment adviser representatives
- Section 81-14-7 - Notice filing requirements for federal covered investment advisers
- Section 81-14-8 - Revoked
- Section 81-14-9 - Custody of client funds or securities; safekeeping; financial reporting
- Section 81-14-10 - Operational requirements for investment advisers; supervisory procedures; brochure delivery
- Section 81-14-11 - Kansas private adviser exemption
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