Kansas Records Retention Schedules

Results of Query:

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

Page 1 of 1 showing 8 records of 8 total, starting on record 1

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 Superseded and obsolete series may be listed under agency code 625-001.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 NOTE: the ULSPA was repealed as of July 1, 2014 and therefore this retention schedule entry will be phased out when all records have been destroyed.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