Kansas § 17-12a409 Withdrawal of registration of broker-dealer, agent, investment adviser and investment adviser representative

Kansas Statutes

§ 17-12a409 — Withdrawal of registration of broker-dealer, agent, investment adviser and investment adviser representative

Kansas·Ch. 17 CORPORATIONS·Art. 12a UNIFORM SECURITIES ACT

Withdrawal of registration by a broker-dealer, agent, investment adviser, or investment adviser representative becomes effective 60 days after the filing of the application to withdraw or within any shorter period as provided by rule adopted or order issued under this act unless a revocation or suspension proceeding is pending when the application is filed. If a proceeding is pending, withdrawal becomes effective when and upon such conditions as required by rule adopted or order issued under this act. The administrator may institute a revocation or suspension proceeding under K.S.A. 17-12a412, and amendments thereto, within one year after the withdrawal became effective automatically and issue a revocation or suspension order as of the last date on which registration was effective if a pro

Free access — add to your briefcase to read the full text and ask questions with AI

Withdrawal of registration by a broker-dealer, agent, investment adviser, or investment adviser representative becomes effective 60 days after the filing of the application to withdraw or within any shorter period as provided by rule adopted or order issued under this act unless a revocation or suspension proceeding is pending when the application is filed. If a proceeding is pending, withdrawal becomes effective when and upon such conditions as required by rule adopted or order issued under this act. The administrator may institute a revocation or suspension proceeding under K.S.A. 17-12a412, and amendments thereto, within one year after the withdrawal became effective automatically and issue a revocation or suspension order as of the last date on which registration was effective if a proceeding is not pending.

Kansas § 17-12a409 (Withdrawal of registration of broker-dealer, agent, investment adviser and investment adviser representative) — published by Counsel Stack Legal Research, free access to 12M+ legal documents.