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.

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

Kansas Uniform Securities Act
Effective July 1, 2010
Table of Contents

Kansas Form D Bulletin
Effective March 16, 2009

Form U-2 Bulletin

Form NF Filing Fee Increases
Effective May 15, 2009

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

Our Topeka Office Has Moved to:
109 SW 9th Street, Suite 600
Topeka, KS 66612

KSC Congressional Testimony
August 24, 2010

Kansas Securities Commissioner Warns of Investor Traps

Olathe Company, CEO Ordered to Repay Over $1.4 Million to Defrauded Investors

Kansas Securities Commissioner Statement on Passage of Financial Services Reform

Man Sentenced to Prison for Defrauding Investors

Governor Parkinson appoints Marc Wilson as Kansas Securities Commissioner

Securities Commissioner Applauds Tougher Penalties for Securities Crimes

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)
• FINRA BrokerCheck®
• Investment Adviser Public Disclosure Site
• Investing Online Resource Center
• Investor Protection Trust