Kansas Records Retention Schedules
Results of Query:
Agency Code: 331 (Insurance Department)
Page 1 of 1 showing 56 records of 56 total,
starting on record 1
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 |
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 storage facility for 8 calendar years, then destroy. |
DISPOSITION |
Destroy |
RESTRICTIONS |
KSA 45-221(a)(25) & KSA 40-3308 |
APPROVED |
2010-10-28
; Revised 2018-11-08 |
K.A.R. NUMBER |
53-2-202 |
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 storage facility 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
; Revised 2018-11-08 |
K.A.R. NUMBER |
53-2-202 |
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 storage facility for 15 calendar years, then destroy. |
DISPOSITION |
Destroy |
RESTRICTIONS |
None |
APPROVED |
2005-07-14
; Revised 2018-11-08 |
K.A.R. NUMBER |
53-2-202 |
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 storage facility for 3 calendar years, then destroy. |
DISPOSITION |
Destroy |
RESTRICTIONS |
None |
APPROVED |
2003-01-09
; Revised 2018-11-08 |
K.A.R. NUMBER |
53-2-202 |
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 requesting authorization to conduct business in Kansas. |
RETENTION |
003 fisc yrs |
DISPOSITION |
Destroy |
RESTRICTIONS |
None |
APPROVED |
2003-01-09
; Revised 2018-11-08 |
K.A.R. NUMBER |
53-2-202 |
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 |
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 |
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 |
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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