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Kansas Records Retention Schedules

Results of Query:

Agency Code: 331 (Insurance Department)

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Agency Number: 331-000
Insurance Department
All Divisions

SERIES ID 0001-331 
TITLE Annual Statements - Domestic 
DESCRIPTION Detailed annual financial statements of Kansas insurance companies authorized to do business in the state. 
RETENTION 005 cldr yrs 
DISPOSITION Destroy 
RESTRICTIONS None 
APPROVED 2015-04-16 
K.A.R. NUMBER 53-2-185 

SERIES ID 0003-331 
TITLE Approved Applications for Certificate of Authority and Certificates of Authority 
DESCRIPTION Application, license, correspondence, and other documents relating to an insurance company's application to conduct business in Kansas that has been approved by the Kansas Insurance Department. 
RETENTION 100 cldr yrs 
DISPOSITION Destroy 
RESTRICTIONS None 
APPROVED 2015-10-22  ; Revised 2016-01-21
K.A.R. NUMBER 53-2-189 

SERIES ID 0005-331 
TITLE Articles of Incorporation and By-laws (Foreign & Domestic) 
DESCRIPTION Articles of incorporation and by-laws of foreign and domestic insurance companies authorized to do business in Kansas. 
RETENTION 100 cldr yrs 
COMMENTS Record copy for domestic companies is retained in Secretary of State's office. 
DISPOSITION Destroy 
RESTRICTIONS None 
APPROVED 2015-10-22 
K.A.R. NUMBER 53-2-189 

SERIES ID 0007-331 
TITLE Bulletins 
DESCRIPTION Bulletins and acknowledgments by the company. 
RETENTION See Comments 
COMMENTS Retain until no longer useful, then destroy. 
DISPOSITION Destroy 
RESTRICTIONS None 
APPROVED 2000-08-17 
K.A.R. NUMBER 53-2-124 

SERIES ID 0009-331 
TITLE Correspondence - Routine 
DESCRIPTION Incoming and outgoing letters and memoranda which pertain only to routine matters handled in accordance with existing policy and procedures: requests for information, letters of transmittal, etc. 
RETENTION See Comments 
COMMENTS Retain until no longer useful, then destroy. 
DISPOSITION Destroy 
RESTRICTIONS None 
APPROVED 2000-08-17 
K.A.R. NUMBER 53-2-124 

SERIES ID 0018-331 
TITLE Rules and Regulations Reference Files 
DESCRIPTION Correspondence, notes, drafts, and other documents relating to proposed revisions of Kansas Administrative Regulations pertaining to the Insurance Department. 
RETENTION See Comments 
COMMENTS Retain until no longer useful, then destroy. 
DISPOSITION Destroy 
RESTRICTIONS None 
APPROVED 2000-08-17 
K.A.R. NUMBER 53-2-124 

SERIES ID 0020-331 
TITLE Tax and Fee Forms 
DESCRIPTION Tax statements that insurance companies doing business in Kansas must file annually for the purpose of computing proper amounts of taxes and fees owed to this state, along with related correspondence. 
RETENTION 003 cldr yrs 
DISPOSITION Destroy 
RESTRICTIONS None 
APPROVED 2015-10-22 
K.A.R. NUMBER 53-2-189 

Agency Number: 331-001
Insurance Department
Administrative Division

SERIES ID 0056-331 
TITLE Firefighter's Relief Distribution Statements 
DESCRIPTION Documents indicating amounts distributed to each participating firefighters relief association. 
RETENTION 005 cldr yrs 
DISPOSITION Destroy 
RESTRICTIONS None 
APPROVED 2015-07-16  ; Revised 2015-07-18
K.A.R. NUMBER 53-2-187 

SERIES ID 0057-331 
TITLE Firefighter's Relief Financial Statements and Forms 
DESCRIPTION Financial statement summarizing each firefighters relief association for past year, certifications of pop. and prop. valuations by associations, and the declarations of participation filed annually. 
RETENTION 005 cldr yrs 
COMMENTS Retain in electronic format for 5 calendar years, then purge at year-end. 
DISPOSITION Destroy 
RESTRICTIONS None 
APPROVED 2010-10-28  ; Revised 2015-06-23
K.A.R. NUMBER 53-2-165 

Agency Number: 331-002
Insurance Department
Legal Division

SERIES ID 0021-331 
TITLE Disciplinary Files - Agents/Agencies/Companies 
DESCRIPTION Hearing transcripts, copies of orders and correspondence relating to disciplinary actions and investigations of insurance agents, agencies and companies suspected of violating state insurance laws. 
RETENTION 010 cldr yrs 
DISPOSITION Destroy 
RESTRICTIONS KSA 45-221(a)(1)(20)(25)(30) & KSA 40-3308 
APPROVED 2015-04-16 
K.A.R. NUMBER 53-2-185 

SERIES ID 0024-331 
TITLE Final Orders 
DESCRIPTION Final orders issued by the department relating to formal actions taken against insurance agents, companies, or agencies that have violated state insurance laws. 
RETENTION See Comments 
COMMENTS Retain until no longer useful, then transfer to the State Archives. 
DISPOSITION Archives 
RESTRICTIONS None 
APPROVED 2010-10-28 
K.A.R. NUMBER 53-2-165 

SERIES ID 0022-331 
TITLE Fraud Investigation/Prosecution/General Files 
DESCRIPTION Files maintained during investigation and prosecution of companies for fraudulent acts as defined by statute. 
RETENTION 010 cldr yrs 
COMMENTS Retain in office 2 years after closing, transfer to the records center for 8 calendar years, then destroy. 
DISPOSITION Destroy 
RESTRICTIONS KSA 45-221(a)(25) & KSA 40-3308 
APPROVED 2010-10-28 
K.A.R. NUMBER 53-2-165 

SERIES ID 0023-331 
TITLE Litigation Case Files 
DESCRIPTION Documents relating to lawsuits in which the Insurance Department is involved as a litigant. 
RETENTION See Comments 
COMMENTS Retain in office until case is closed, transfer to the records center for 10 calendar years, then offer records to the State Archives; destroy any portions not accepted. 
DISPOSITION See Comments 
RESTRICTIONS KSA 45-221(a)(25) 
APPROVED 2010-10-28 
K.A.R. NUMBER 53-2-165 

SERIES ID 0025-331 
TITLE Service of Process Records 
DESCRIPTION Proof of service forms, legal documents served and transmittal correspondence used in receiving and serving legal process on insurance companies. 
RETENTION 006 months 
COMMENTS Retain in office for six months, then destroy. This includes electronic records and paper records. 
DISPOSITION Destroy 
RESTRICTIONS None 
APPROVED 2000-08-17 
K.A.R. NUMBER 53-2-124 

SERIES ID 0026-331 
TITLE Stock Sales Permits Records 
DESCRIPTION Applications for stock permits, orders authorizing stock sales and related correspondence. 
RETENTION See Comments 
COMMENTS Retain in office until no longer useful, then destroy. Retain supporting information for 1 year after report is filed, then destroy. 
DISPOSITION Destroy 
RESTRICTIONS None 
APPROVED 2000-08-17 
K.A.R. NUMBER 53-2-124 

SERIES ID 0027-331 
TITLE Workers' Compensation Fund Files 
DESCRIPTION Files containing appointment letters, accident reports, correspondence with counsel and legal documents concerning workers' compensation second injury fund claims. 
RETENTION See Comments 
COMMENTS Retain in office 1 year after case is closed, transfer to the records center for 15 calendar years, then destroy. 
DISPOSITION Destroy 
RESTRICTIONS None 
APPROVED 2005-07-14 
K.A.R. NUMBER 53-2-143 

Agency Number: 331-004
Insurance Department
Financial Surveillance Division

SERIES ID 0006-331 
TITLE Biographical Affidavits 
DESCRIPTION Documents containing biographical information on officers and directors of domestic insurers. 
RETENTION See Comments 
COMMENTS Retain until no longer useful, then destroy. 
DISPOSITION Destroy 
RESTRICTIONS None 
APPROVED 2010-10-28 
K.A.R. NUMBER 53-2-165 

SERIES ID 0032-331 
TITLE CPA Annual Audit Reports 
DESCRIPTION Audit reports on domestic insurance companies prepared by certified public accountants. 
RETENTION 002 fisc yrs 
DISPOSITION Destroy 
RESTRICTIONS None 
APPROVED 2010-10-28 
K.A.R. NUMBER 53-2-165 

SERIES ID 0033-331 
TITLE Financial Examination Reports and Workpapers - Domestic 
DESCRIPTION Reports and work papers prepared by Kansas Insurance Department examiners describing the operation and financial condition of Kansas insurance companies and violations of insurance law discovered during the exam. 
RETENTION See comments 
COMMENTS Retain reports and work papers until superseded, then destroy work papers. Retain the 2 most recent reports in office, destroy remainder. 
DISPOSITION Destroy 
RESTRICTIONS None 
APPROVED 2015-04-16 
K.A.R. NUMBER 53-2-185 

SERIES ID 0029-331 
TITLE Financial Statement Reviews - Domestic 
DESCRIPTION Audit guides, work papers, and other documents relating to the department's financial review of Kansas insurance companies prepared in monitoring compliance with state statutes and regulations. 
RETENTION 005 cldr yrs 
DISPOSITION Destroy 
RESTRICTIONS None 
APPROVED 2015-04-16 
K.A.R. NUMBER 53-2-185 

SERIES ID 0030-331 
TITLE Financial Statement Reviews - Foreign 
DESCRIPTION Audit guides, work papers, and other documents relating to the department's financial review of non-Kansas insurance companies prepared in monitoring compliance with state statutes and regulations. 
RETENTION 005 cldr yrs 
DISPOSITION Destroy 
RESTRICTIONS None 
APPROVED 2010-10-28  ; Revised 2015-04-08
K.A.R. NUMBER 53-2-165 

SERIES ID 0066-331 
TITLE Form 5 Business Valuation Report 
DESCRIPTION Report relating to the insurer's deposit requirement which is required per K.S.A. 40-222(b)(a)(5). 
RETENTION See Comments 
COMMENTS Retain the four most recent Form 5 reports in office. Shred previous filings. 
DISPOSITION Destroy 
RESTRICTIONS None 
APPROVED 2010-10-28 
K.A.R. NUMBER 53-2-165 

SERIES ID 0035-331 
TITLE Holding Company Filings 
DESCRIPTION Detailed reports generally filed by domestic and selected foreign insurers describing their relationship with affiliated companies. 
RETENTION See comments 
COMMENTS Retain domestic filings 005 fiscal years, then destroy. Retain foreign filings in office until no longer useful, then destroy.  
DISPOSITION Destroy 
RESTRICTIONS None 
APPROVED 2015-04-16 
K.A.R. NUMBER 53-2-185 

SERIES ID 0067-331 
TITLE Liquidation Files 
DESCRIPTION Documents associated with a Company that has been placed in Liquidation. 
RETENTION See Comments 
COMMENTS Retain in office for 1 year after liquidation is finalized, then shred. 
DISPOSITION Destroy 
RESTRICTIONS None 
APPROVED 2010-10-28 
K.A.R. NUMBER 53-2-165 

SERIES ID 0068-331 
TITLE Managing General Agent Documents 
DESCRIPTION Managing General Agent Appointment, Termination, and Annual Reporting Form. 
RETENTION See Comments 
COMMENTS Retain Appointment and Termination Forms for five years, and most recent Annual Reporting Form. 
DISPOSITION Destroy 
RESTRICTIONS None 
APPROVED 2010-10-28 
K.A.R. NUMBER 53-2-165 

SERIES ID 0036-331 
TITLE Mergers and Acquisitions Files 
DESCRIPTION Documents relating to the department's review of proposed insurance company mergers or acquisitions that involve a domestic company which were reviewed to determine compliance with state statutes. 
RETENTION 005 cldr yrs 
COMMENTS Purge file, then retain the remainder in office for 5 years, then destroy. 
DISPOSITION Destroy 
RESTRICTIONS None 
APPROVED 2015-04-16 
K.A.R. NUMBER 53-2-185 

SERIES ID 0069-331 
TITLE Producer Controlled Insurer Reporting Form 
DESCRIPTION Form required to provide information on insurers that are controlled by producers as outlined in K.S.A. 40-37a01 et. seq. 
RETENTION 005 cldr yrs 
COMMENTS Retain in office for 5 calendar years, then shred. 
DISPOSITION Destroy 
RESTRICTIONS None 
APPROVED 2010-10-28 
K.A.R. NUMBER 53-2-165 

SERIES ID 0037-331 
TITLE Quarterly Statements - Domestic 
DESCRIPTION Abbreviated financial statements filed quarterly by domestic insurance companies. 
RETENTION See Comments 
COMMENTS Retain four most recent quarters in office, then destroy. 
DISPOSITION Destroy 
RESTRICTIONS None 
APPROVED 2010-10-28 
K.A.R. NUMBER 53-2-165 

SERIES ID 0070-331 
TITLE Risk-Based Capital Reports 
DESCRIPTION Report used to assess the minimum capitalization of an insurer given its overall business operations in consideration of its size and risk profile. 
RETENTION 005 cldr yrs 
DISPOSITION Destroy 
RESTRICTIONS None 
APPROVED 2015-04-16 
K.A.R. NUMBER 53-2-185 

SERIES ID 0031-331 
TITLE Statutory Deposit Documents 
DESCRIPTION Certification and verification of compliance with statutory requirements for deposits. 
RETENTION See Comments 
COMMENTS Retain in office 3 calendar years or until files have been subject to state audit, whichever is longer, then destroy. 
DISPOSITION Destroy 
RESTRICTIONS None 
APPROVED 2010-10-28 
K.A.R. NUMBER 53-2-165 

SERIES ID 0038-331 
TITLE Withdrawn Applications for Certificates of Authority 
DESCRIPTION Application, annual statement, incoming and outgoing correspondence, and other documents relating to an insurance company's application to conduct business in Kansas that have been withdrawn. 
RETENTION 002 cldr years 
DISPOSITION Destroy 
RESTRICTIONS None 
APPROVED 2010-10-28 
K.A.R. NUMBER 53-2-165 

Agency Number: 331-005
Insurance Department
Consumer Assistance Division

SERIES ID 0039-331 
TITLE Complaint and External Review Files 
DESCRIPTION Correspondence, medical information, copies of policies, claims, and other documents relating to complaints filed with the Department by consumers against regulated entities. 
RETENTION See Comments 
COMMENTS Retain in office for 3 years after case closed, then destroy. 
DISPOSITION Destroy 
RESTRICTIONS None 
APPROVED 2000-08-17 
K.A.R. NUMBER 53-2-124 

Agency Number: 331-006
Insurance Department
Producers Division

SERIES ID 0042-331 
TITLE Agency Licensing Files 
DESCRIPTION Applications and supporting documentation relating to licensing insurance companies and agents to ensure their compliance with Kansas insurance laws and regulations. 
RETENTION See Comments 
COMMENTS Documents to determine acceptability for licensure, destroy upon issuance of license. Documents used to update the electronic record may be destroyed after updating electronic record. Electronic data shall be kept for 5 cldr yrs after terminated. 
DISPOSITION Destroy 
RESTRICTIONS KSA 45-221(a)(1)(6)(9), 5 USC Sec. 522a 
APPROVED 2010-10-28 
K.A.R. NUMBER 53-2-165 

SERIES ID 0044-331 
TITLE Cancellation Forms and Annual Cancellation List - Agent & Agency 
DESCRIPTION Documents relating to an insurance company's termination of an agent or agency authority to represent the company. 
RETENTION See Comments 
COMMENTS Retain in office 3 months after licensing year has ended, then destroy. Electronic record shall be maintained for 10 years after agent or agency license is terminated. 
DISPOSITION Destroy 
RESTRICTIONS None 
APPROVED 2000-08-17 
K.A.R. NUMBER 53-2-124 

SERIES ID 0045-331 
TITLE Certification Forms and Annual Certificate Renewal List - Agent & Agency 
DESCRIPTION Documents relating to an insurance company's authorization for an agent or agency to represent the company on a specific date. 
RETENTION See Comments 
COMMENTS Retain in office 3 months after licensing year has ended, then destroy. Electronic record shall be maintained for 10 years after agency or agency license is terminated. 
DISPOSITION See Comments 
RESTRICTIONS None 
APPROVED 2000-08-17 
K.A.R. NUMBER 53-2-124 

SERIES ID 0043-331 
TITLE Continuing Education Compliance Records 
DESCRIPTION Continuing education course certifications and letters of home state certification submitted by insurance agents to demonstrate compliance with continuing education requirements. 
RETENTION See Comments 
COMMENTS Retain course certifications & letters of home state certifications for 3 months after creation of electronic record then destroy. Electronic course credit data is maintained until the producer/adjuster has renewed & then may be deleted. 
DISPOSITION Destroy 
RESTRICTIONS None 
APPROVED 2010-10-28 
K.A.R. NUMBER 53-2-165 

Agency Number: 331-008
Insurance Department
Property and Casualty Division

10/22/2010: Changed from "Fire and Casualty".


SERIES ID 0050-331 
TITLE Auto Club Applications and Renewals 
DESCRIPTION Applications and supporting documentation relating to an automobile club and renewal requests required to conduct business in Kansas. 
RETENTION See Comments 
COMMENTS Retain in office 3 calendar years after license is cancelled, then destroy. 
DISPOSITION Destroy 
RESTRICTIONS None 
APPROVED 2003-01-09 
K.A.R. NUMBER 53-2-133 

SERIES ID 0051-331 
TITLE Company Files - Suspended 
DESCRIPTION Specimen policies, rates, correspondence, and other documents relating to fire and casualty insurance companies whose certificate of authority to transact business in Kansas has been suspended. 
RETENTION 003 cldr yrs 
DISPOSITION Destroy 
RESTRICTIONS None 
APPROVED 2015-10-22 
K.A.R. NUMBER 53-2-189 

SERIES ID 0052-331 
TITLE Company Files - Terminated 
DESCRIPTION Specimen policies, rates, correspondence, and other documents relating to fire and casualty insurance companies whose certificate of authority to conduct business in Kansas has been terminated. 
RETENTION See Comments 
COMMENTS Retain in office until no longer useful, then transfer to the records center for 3 calendar years, then destroy. 
DISPOSITION Destroy 
RESTRICTIONS None 
APPROVED 2003-01-09 
K.A.R. NUMBER 53-2-133 

SERIES ID 0054-331 
TITLE Excess Lines - Annual Financial Statements 
DESCRIPTION Initial financial statements filed by non-admitted companies authorized to conduct business in Kansas and letters requests authorization to conduct business in Kansas. 
RETENTION 003 fisc yrs 
DISPOSITION Destroy 
RESTRICTIONS None 
APPROVED 2003-01-09 
K.A.R. NUMBER 53-2-133 

SERIES ID 0055-331 
TITLE Excess Lines - Forms 
DESCRIPTION Forms filed by excess lines agents licensed to write excess lines insurance business in Kansas reporting policies written and taxes owed. 
RETENTION 003 cldr yrs 
DISPOSITION Destroy 
RESTRICTIONS None 
APPROVED 2003-01-09 
K.A.R. NUMBER 53-2-133 

SERIES ID 0058-331 
TITLE Prepaid Legal Files 
DESCRIPTION Applications and supporting documentation submitted by insurance companies as required for authorization to conduct business in Kansas. 
RETENTION See Comments 
COMMENTS Retain approved plans 1 year after withdrawal, then destroy. Retain disapproved plans 2 years, then destroy. 
DISPOSITION Destroy 
RESTRICTIONS None 
APPROVED 2003-01-09 
K.A.R. NUMBER 53-2-133 

SERIES ID 0060-331 
TITLE Risk Purchasing Group Files 
DESCRIPTION Applications and supporting documentation relating to risk purchasing groups which are organized to negotiate and purchase liability insurance for their members. 
RETENTION See Comments 
COMMENTS Retain in office 1 calendar year after inactive, then destroy. 
DISPOSITION Destroy 
RESTRICTIONS None 
APPROVED 2003-01-09 
K.A.R. NUMBER 53-2-133 

SERIES ID 0061-331 
TITLE Risk Retention Group Files 
DESCRIPTION Documents relating to the registering and examining of groups formed for the purpose of assuming and spreading product liability or completed operations liability risk exposure for their members. 
RETENTION See Comments 
COMMENTS Retain in office 1 calendar year after inactive, then destroy. 
DISPOSITION Destroy 
RESTRICTIONS None 
APPROVED 2003-01-09 
K.A.R. NUMBER 53-2-133 

Agency Number: 331-011
Insurance Department
Health and Life Division

The Life and the Accident and Health (A&H) Divisions combined to form the Health and Life Division.


SERIES ID 0048-331 
TITLE Prepaid Dental Plan Files 
DESCRIPTION Applications and supporting documentation relating to companies wishing to conduct business in the state of Kansas. 
RETENTION See Comments 
COMMENTS Retain approved plan files two calendar years after withdrawal, then destroy. 
DISPOSITION Destroy 
RESTRICTIONS None 
APPROVED 2000-08-17  ; Revised 2015-06-23
K.A.R. NUMBER 53-2-124 

SERIES ID 0049-331 
TITLE Third Party Administrators Files 
DESCRIPTION Applications for registration, certificates of registration and correspondence relating to annual renewal of certificate to act as third party administrator. 
RETENTION See Comments 
COMMENTS Retain approval registration files two years after withdrawal, then destroy. 
DISPOSITION Destroy 
RESTRICTIONS None 
APPROVED 2000-08-17  ; Revised 2015-06-23
K.A.R. NUMBER 53-2-124 

SERIES ID 0105-331 
TITLE Utilization Review Organization, Pharmacy Benefits Manager, and Continuing Care Provider Files 
DESCRIPTION Applications for registration, certificates of registration, supporting documentation, and correspondence relating to renewal of certificate as a utilization review organization (URO), a Pharmacy Benefits Manager, or a Continuing Care Provider. 
RETENTION See comments 
COMMENTS Retain approval registration files two years after withdrawal/cancellation, then destroy. 
DISPOSITION Destroy 
RESTRICTIONS None 
APPROVED 2015-07-16 
K.A.R. NUMBER 53-2-187 

Agency Number: 331-012
Insurance Department
Licensing and Market Regulation

Newly formed division coming out of agency reorganization.


SERIES ID 0040-331 
TITLE Market Conduct Examination Reports 
DESCRIPTION Reports prepared by Kansas Insurance Department employees outlining findings made during examinations of Kansas insurance companies' compliance with statutes and regulations. 
RETENTION 010 cldr yrs 
COMMENTS Retain reports in office 10 calendar years, then destroy. 
DISPOSITION Destroy 
RESTRICTIONS None 
APPROVED 2000-08-17  ; Revised 2015-06-23
K.A.R. NUMBER 53-2-124 

SERIES ID 0041-331 
TITLE Market Conduct Examination Work Papers 
DESCRIPTION Documents used by Kansas Insurance Department employees in the preparation of formal Market Conduct Examination Reports. 
RETENTION 005 cldr yrs 
COMMENTS Retain in office 5 calendar years, then destroy. 
DISPOSITION Destroy 
RESTRICTIONS None 
APPROVED 2000-08-17  ; Revised 2015-06-23
K.A.R. NUMBER 53-2-124 

Agency Number: 331-013
Insurance Department
Securities Commissioner

Formerly independent office, became part of Insurance Department under Senate Bill 23, 2017. Superseded and obsolete series may be listed under agency code 625-001.


SERIES ID 0112-331 
TITLE Broker-dealer and Investment Adviser Files 
DESCRIPTION Applications, financial statements, correspondence, certificates, and other documents required for broker-dealers and investment advisers to engage in business in Kansas. 
RETENTION See Comments 
COMMENTS Retain until inactive, transfer to offsite storage for 5 years, and then destroy. 
DISPOSITION Destroy 
RESTRICTIONS K.S.A. 17-12a607(b); K.S.A. 45-221(a)(14)(20)(30).  
APPROVED 2015-10-22  ; Revised 2017-07-03
K.A.R. NUMBER 53-2-189 

SERIES ID 0110-331 
TITLE Compliance and Enforcement Case Files 
DESCRIPTION Documents related to the investigation of possible violations of the Kansas Uniform Securities Act and regulations and the Kansas Loan Brokers Act, and to the subsequent actions taken by the Commissioner and staff. 
RETENTION See Comments 
COMMENTS Retain in office 2 yrs after case is closed, transfer to offsite storage for 5 years, and then destroy unless agency in consultation with the State Archives staff determines case has historical significance; if so, then transfer to the State Archives.  
DISPOSITION See Comments 
RESTRICTIONS KSA 45-221(a)(10)(11)(14)(20)(25)(30) & KSA 17-12a607(b) 
APPROVED 2016-04-04  ; Revised 2017-07-03
K.A.R. NUMBER 53-2-190 

SERIES ID 0108-331 
TITLE Exemption Notice Filing Records 
DESCRIPTION Notice forms, other than Form NF (the Uniform Investment Company Notice Filing form), or other documents filed by issuers to claim exemptions from registration as required by statutes and regulations. 
RETENTION 001 fisc yr 
DISPOSITION Destroy 
RESTRICTIONS None 
APPROVED 2015-10-22  ; Revised 2017-07-03
K.A.R. NUMBER 53-2-189 

SERIES ID 0107-331 
TITLE Land Sales Registration Records 
DESCRIPTION Applications, correspondence, description of lands, etc. relating to the registration of companies and individuals wishing to sell undeveloped land to Kansans pursuant to the Uniform Land Sales Practices Act (ULSPA). NOTE: the ULSPA was repealed as of July 1, 2014 and therefore this retention schedule entry will be phased out when all records have been destroyed. 
RETENTION All records can be destroyed July 1, 2019. 
DISPOSITION Destroy 
RESTRICTIONS None 
APPROVED 2015-10-20  ; Revised 2017-07-03
K.A.R. NUMBER 53-2-189 

SERIES ID 0106-331 
TITLE Legal Files - Administrative Subpoena 
DESCRIPTION Subpoenas issued by the Securities Commissioner or staff to obtain information to support investigations that do not require any additional legal action. 
RETENTION 008 fisc yrs 
DISPOSITION Destroy 
RESTRICTIONS KSA 45-221-(a)(11) & KSA 17-12(a)(607)(b) 
APPROVED 2016-04-07  ; Revised 2017-07-03
K.A.R. NUMBER 53-2-190 

SERIES ID 0109-331 
TITLE Legal files - Administrative 
DESCRIPTION Orders; MOUs; Letters of Caution; Interpretive Opinion and No-action letters and associated files issued by legal staff related to dispositions of compliance and enforcement cases, and opinion or no-action letters issued in response to requests for rulings on interpretations or enforcement determinations for proposed transactions or activities subject to provisions of the Kansas Uniform Securities Act and regulations and the Kansas Loan Brokers Act.  
RETENTION See comments 
COMMENTS Retain 5 years after issuance of ruling or determination, then transfer to the State Archives. 
DISPOSITION Archives 
RESTRICTIONS KSA 45-221(a)(14)(20)(25)(30) & KSA 17-12a607(b) 
APPROVED 2016-04-07  ; Revised 2017-07-03
K.A.R. NUMBER 53-2-190 

SERIES ID 0111-331 
TITLE Mutual Fund and Unit Investment Trust Files 
DESCRIPTION Notice Filings on form NF, correspondence, and termination letters relating to the offer and sale of mutual fund and unit investment trust (UIT) securities. 
RETENTION 001 yr after termination or expiration 
DISPOSITION Destroy 
RESTRICTIONS None 
APPROVED 2015-10-22  ; Revised 2017-07-03
K.A.R. NUMBER 53-2-189 

SERIES ID 0113-331 
TITLE Securities Registration files 
DESCRIPTION Applications, correspondence, notices of sales, and supporting documentation relating to the registration of securities. 
RETENTION See Comments 
COMMENTS Retain in office until inactive, transfer to offsite storage for 5 years, then destroy except for Kansas issuers, which will be transferred to the State Archives. 
DISPOSITION See Comments 
RESTRICTIONS None 
APPROVED 2015-10-22  ; Revised 2017-07-03
K.A.R. NUMBER 53-2-189 

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