17-12a504.Filing of sales and advertising
literature.
(a) Filing requirement. Except as otherwise
provided in subsection (b), a rule adopted or order issued under
this act may require the filing of a prospectus, pamphlet, circular,
form letter, advertisement, sales literature, or other advertising
record relating to a security or investment advice, addressed or
intended for distribution to prospective investors, including
clients or prospective clients of a person registered or required
to be registered as an investment adviser under this act.
(b) Excluded communications. This section does not apply to
sales and advertising literature specified in subsection (a) which
relates to a federal covered security, a federal covered investment
adviser, or a security or transaction exempted by
K.S.A. 17-12a201, 17-12a202, or 17-12a203, and amendments thereto, except as
required for a
notice filing under K.S.A. 17-12a201, 17-12a202, or 17-12a203, and amendments
thereto.
17-12a504.Filing of sales and advertising
literature.
(a) Filing requirement. Except as otherwise
provided in subsection (b), a rule adopted or order issued under
this act may require the filing of a prospectus, pamphlet, circular,
form letter, advertisement, sales literature, or other advertising
record relating to a security or investment advice, addressed or
intended for distribution to prospective investors, including
clients or prospective clients of a person registered or required
to be registered as an investment adviser under this act.
(b) Excluded communications. This section does not apply to
sales and advertising literature specified in subsection (a) which
relates to a federal covered security, a federal covered investment
adviser, or a security or transaction exempted by
K.S.A. 17-12a201, 17-12a202, or 17-12a203, and amendments thereto, except as
required for a
notice filing under K.S.A. 17-12a201, 17-12a202, or 17-12a203, and amendments
thereto.
17-12a504.Filing of sales and advertising
literature.
(a) Filing requirement. Except as otherwise
provided in subsection (b), a rule adopted or order issued under
this act may require the filing of a prospectus, pamphlet, circular,
form letter, advertisement, sales literature, or other advertising
record relating to a security or investment advice, addressed or
intended for distribution to prospective investors, including
clients or prospective clients of a person registered or required
to be registered as an investment adviser under this act.
(b) Excluded communications. This section does not apply to
sales and advertising literature specified in subsection (a) which
relates to a federal covered security, a federal covered investment
adviser, or a security or transaction exempted by
K.S.A. 17-12a201, 17-12a202, or 17-12a203, and amendments thereto, except as
required for a
notice filing under K.S.A. 17-12a201, 17-12a202, or 17-12a203, and amendments
thereto.
