The mission of the Office of the Kansas Securities Commissioner is to protect and inform Kansas investors, to promote integrity and full disclosure in financial services, and to foster capital formation.

Federal Covered Investment Advisers Switching to State Registration State Registration is NOT Automatic

Form NF Filing Fee Increases
Effective May 15, 2009

Kansas Securities Regulations
as of May 22, 2009
Table of Contents

Kansas Form D Bulletin
Effective March 16, 2009

Kansas Uniform Securities Act
Effective July 1, 2005

Table of Contents
Kansas Uniform Securities Act
Effective July 1, 2005

Complaint form must be printed,
completed and hard copy submitted to the address on the form.

Chris Biggs Discusses White Collar Crime and Securities Fraud in Kansas
Click here to watch complete interview with Rebecca Zepick, reporter for
State of the State KS.

Overland Park Insurance Agent Found Guilty of Securities Fraud

Texas Resident Found Guilty of Securities Fraud

Top Ten Investor Traps

Criminal Charges Filed Against
Danny M. Moore

Brokerage Firms Finalize Agreements to Settle Auction Rate Securities Case

Criminal Charges Filed Regarding
Wild West World

Securities Commissioner Adopts Regulations to Protect Senior Investors

The following links are to other state and industry regulators and partners in investor education. These sites will open in a new window.

• North American Securities Administrators Association
• U.S. Securities and Exchange Commission
• Financial Industry Regulatory Authority (FINRA)
• Investing Online Resource Center
• Investor Protection Trust