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Regulation of Securities
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Missouri Revised Statutes
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Regulation of Securities
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Section
409.1-101
Short title.
Section
409.1-102
Definitions.
Section
409.1-103
References to federal statutes.
Section
409.1-104
References to federal agencies.
Section
409.1-105
Electronic records and signatures.
Section
409.2-201
Exempt securities.
Section
409.2-202
Exempt transactions.
Section
409.2-203
Additional exemptions and waivers.
Section
409.2-204
Denial, suspension, revocation, condition, or limitation of exemptions.
Section
409.3-301
Securities registration requirement.
Section
409.3-302
Notice filing.
Section
409.3-303
Securities registration by coordination.
Section
409.3-304
Securities registration by qualification.
Section
409.3-305
Securities registration filings.
Section
409.3-306
Denial, suspension, and revocation of securities registration.
Section
409.3-307
Waiver and modification.
Section
409.4-401
Broker-dealer registration requirement and exemptions.
Section
409.4-402
Agent registration requirement and exemptions.
Section
409.4-403
Investment adviser registration requirement and exemptions.
Section
409.4-404
Investment adviser representative registration requirement and exemptions.
Section
409.4-405
Federal covered investment adviser notice filing requirement.
Section
409.4-406
Registration by broker-dealer, agent, investment adviser, and investment adviser representative.
Section
409.4-407
Succession and change in registration of broker-dealer or investment adviser.
Section
409.4-408
Termination of employment or association of agent and investment adviser representative and transfer of employment or association.
Section
409.4-409
Withdrawal of registration of broker-dealer, agent, investment adviser, and investment adviser representative.
Section
409.4-410
Filing fees.
Section
409.4-411
Postregistration requirements.
Section
409.4-412
Denial, revocation, suspension, withdrawal, restriction, condition, or limitation of registration.
Section
409.5-501
General fraud.
Section
409.5-502
Prohibited conduct in providing investment advice.
Section
409.5-503
Evidentiary burden.
Section
409.5-504
Filing of sales and advertising literature.
Section
409.5-505
Misleading filings.
Section
409.5-506
Misrepresentations concerning registration or exemption.
Section
409.5-507
Qualified immunity.
Section
409.5-508
Criminal penalties.
Section
409.5-509
Civil liability.
Section
409.5-510
Rescission offers.
Section
409.6-601
Administration.
Section
409.6-602
Investigations and subpoenas.
Section
409.6-603
Civil enforcement.
Section
409.6-604
Administrative enforcement.
Section
409.6-605
Rules, forms, orders, interpretive opinions, and hearings.
Section
409.6-606
Administrative files and opinions.
Section
409.6-607
Public records; confidentiality.
Section
409.6-608
Uniformity and cooperation with other agencies.
Section
409.6-609
Judicial review.
Section
409.6-610
Jurisdiction.
Section
409.6-611
Service of process.
Section
409.6-612
Severability clause.
Section
409.7-701
Effective date.
Section
409.7-702
Repeals.
Section
409.7-703
Application of act to existing proceedings and existing rights and duties.
Section
409.107
Investment firms, legal firms, other persons shall not be involved with issuance of bonds, when.
Section
409.108
Tampering with securities documents or impeding investigations prohibited.
Section
409.109
Penalty.
Section
409.111
Commissioner of securities may investigate violations.
Section
409.112
Commissioner of securities may seek relief for violations, when.
Section
409.113
Commissioner of securities may issue orders, when.
Section
409.114
Duties and powers of commissioner of securities.
Section
409.500
Short title.
Section
409.506
Definitions.
Section
409.511
Requirements, offeror must send registration statement — solicitations, recommendations, file with commissioner.
Section
409.516
Registration statement, contents — material changes, notice to commissioner, how.
Section
409.521
Commissioner may make investigations, seek injunctions, when.
Section
409.526
Penalties.
Section
409.531
Commissioner may promulgate rules, establish fees.
Section
409.536
Attorney general may prosecute, how.
Section
409.541
Secretary of state deemed offeror's agent, when — service of process, how, effective when.
Section
409.546
Fraudulent practices not allowed, solicitation of offerees.
Section
409.551
Exceptions.
Section
409.556
Construction of statutes.
Section
409.561
Additional requirements, when applicable.
Section
409.566
Unlawful practices, offeree may bring suit, damages, attorney fees.
Section
409.600
Citation of law.
Section
409.605
Definitions.
Section
409.610
Financial exploitation, notification of agencies and family members.
Section
409.615
Refusal of request for disbursement or transaction, when — expiration.
Section
409.620
Immunity from liability, when.
Section
409.625
Records, provided to agencies or law enforcement, when.
Section
409.630
Website for training resources to prevent and detect financial exploitation.
Section
409.800
Definitions.
Section
409.803
Prohibited contracts — exemptions.
Section
409.806
Exempt transaction — rules, generally, this chapter, procedure.
Section
409.808
Commodity merchants — license required, boards of trade — designation required.
Section
409.810
Prohibited acts.
Section
409.813
Principals, agents, joint and several liability — when.
Section
409.816
Applicability of other laws.
Section
409.818
Intent of law.
Section
409.820
Investigations by commissioner, subpoena powers — judicial enforcement.
Section
409.823
Violations — powers of commissioner.
Section
409.826
Violations of domestic or foreign laws, rules — legal and equitable remedies.
Section
409.828
Penalties.
Section
409.830
Insiders — restricted use of information, data to be public, exceptions.
Section
409.833
Cooperation with other jurisdictions, agencies.
Section
409.836
General authority of commissioner.
Section
409.838
Service of process, appointment of commissioner as agent for service.
Section
409.840
Application of sections 409.803, 409.808, 409.810, offers to sell, buy — where deemed made.
Section
409.843
Administrative procedure, notice of intent, summary order, notice, hearing.
Section
409.846
Judicial review of commissioner's orders — procedure — standard of review.
Section
409.848
Exemptions — burden of proof.
Section
409.850
Broker-dealers, sales representatives — applications for licenses — fees.
Section
409.853
Examinations.
Section
409.856
Licenses — effective date — expiration — classification, sales representatives — restrictions — exceptions.
Section
409.858
Annual report, records — amendment, broker — dealers — capital requirements — fidelity bonds — financial reports.
Section
409.860
Records — examination without notice — fees.
Section
409.863
Licenses — denial, suspension, revocation, limitations, cancellation — grounds.
Section
409.950
Fiduciaries and employee retirement systems, investment in certain multinational development banks authorized.
Section
409.1000
Business opportunities — definitions.
Section
409.1003
Practices prohibited — penalty.
Section
409.1006
Civil remedies.