Dealer Requirements: SCOR offerings may be sold by a registered broker-dealer, or by a registered agent of the issuer (usually an officer of the company). A Form U-4 is required to register each agent of the issuer, and an examination covering state securities laws is required unless good cause for a waiver is provided in writing. The form and other information concerning an agent registration are available upon request from the above mentioned office.

Filing Fees: .05% of the amount to be registered in Kansas. Minimum registration fee is $100.

Official Recognition: Yes

Forms: Form K-4, Form U-7. Applicants must also complete Forms U-1,
U-2 and U-2A.

Instructions: To register securities in Kansas, applicants must follow the conditions, limitations and standards set forth in Regulation 81-4-2. Also, various fairness standards set forth in Regulation 81-7-1 must also be followed.

Date Last Modified: 1/27/97

Regulatory Contact:

Contact:
Securities Commissioner, Office of the Securities Commissioner

Address:
618 South Kansas Avenue, 2nd Floor
Topeka KS 66603-3804

Phone:
785-296-3307

Fax:
785-296-6872

Website:
http://www.securities.state.ks.us

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