PocketLaw | Kansas Statutes | Uniform Securities Act

Uniform Securities Act

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101 Citation of act.

102 Definitions.

103 References to federal statutes.

104 References to federal agencies.

105 Electronic records and signatures.

201 Exempt securities.

202 Exempt transactions.

203 Additional exemptions and waivers.

204 Denial, suspension, revocation, condition or limitation of exemptions.

205 Exemption filing fees.

301 Securities registration requirement.

302 Notice filing.

303 Securities registration by coordination.

304 Securities registration by qualification.

305 Securities registration filings.

306 Denial, suspension and revocation of securities registration.

307 Waiver and modification.

401 Broker-dealer registration requirement and exemptions.

402 Agent registration requirement and exemptions.

403 Investment adviser registration requirement and exemptions.

404 Investment adviser representative registration requirement and exemptions.

405 Federal covered investment adviser notice filing requirement.

406 Registration by broker-dealer, agent, investment adviser and investment adviser representative.

407 Succession and change in registration of broker-dealer or investment adviser.

408 Termination of employment or association of agent and investment adviser representative and transfer of employment or association.

409 Withdrawal of registration of broker-dealer, agent, investment adviser and investment adviser representative.

410 Filing fees.

411 Postregistration requirements.

412 Denial, revocation, suspension, withdrawal, restriction, condition or limitation of registration.

501 General fraud.

502 Prohibited conduct in providing investment advice.

503 Evidentiary burden.

504 Filing of sales and advertising literature.

505 Misleading filings; coercion; obstruction.

506 Misrepresentations concerning registration or exemption.

507 Qualified immunity.

508 Criminal penalties; statute of limitations.

509 Civil liability.

510 Rescission offers.

601 Administration; investor education and protection fund.

602 Investigations and subpoenas.

603 Civil enforcement.

604 Administrative enforcement.

605 Rules, forms, orders, interpretive opinions and hearings.

606 Administrative files and opinions.

607 Public records; confidentiality.

608 Uniformity and cooperation with other agencies.

609 Judicial review.

610 Jurisdiction.

611 Service of process.

612 Severability clause.

703 Repeals; application of act to existing proceeding and existing rights and duties.