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Kansas Records Retention Schedules

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Agency Code: 331-013 (Insurance Department. Securities Commissioner)

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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 Superseded and obsolete series may be listed under agency code 625-001.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 NOTE: the ULSPA was repealed as of July 1, 2014 and therefore this retention schedule entry will be phased out when all records have been destroyed.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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