| 409.101. | (Repealed L. 2003 H.B. 380 § A) |
| 409.102. | (Repealed L. 2003 H.B. 380 § A) |
| 409.107. | Investment firms, legal firms, other persons shall not be involved |
| | with issuance of bonds, when. |
| 409.108. | Tampering with securities documents or impeding investigations |
| | prohibited. |
| 409.109. | Penalty. |
| 409.111. | Commissioner of securities may investigate violations. |
| 409.112. | Commissioner of securities may seek relief for violations, when. |
| 409.113. | Commissioner of securities may issue orders, when. |
| 409.114. | Duties and powers of commissioner of securities. |
| 409.201. | (Repealed L. 2003 H.B. 380 § A) |
| 409.202. | (Repealed L. 2003 H.B. 380 § A) |
| 409.203. | (Repealed L. 2003 H.B. 380 § A) |
| 409.204. | (Repealed L. 2003 H.B. 380 § A) |
| 409.301. | (Repealed L. 2003 H.B. 380 § A) |
| 409.302. | (Repealed L. 2003 H.B. 380 § A) |
| 409.303. | (Repealed L. 2003 H.B. 380 § A) |
| 409.304. | (Repealed L. 2003 H.B. 380 § A) |
| 409.305. | (Repealed L. 2003 H.B. 380 § A) |
| 409.306. | (Repealed L. 2003 H.B. 380 § A) |
| 409.307. | (Repealed L. 2003 H.B. 380 § A) |
| 409.401. | (Repealed L. 2003 H.B. 380 § A) |
| 409.402. | (Repealed L. 2003 H.B. 380 § A) |
| 409.403. | (Repealed L. 2003 H.B. 380 § A) |
| 409.404. | (Repealed L. 2003 H.B. 380 § A) |
| 409.405. | (Repealed L. 2003 H.B. 380 § A) |
| 409.406. | (Repealed L. 2003 H.B. 380 § A) |
| 409.407. | (Repealed L. 2003 H.B. 380 § A) |
| 409.408. | (Repealed L. 2003 H.B. 380 § A) |
| 409.409. | (Repealed L. 2003 H.B. 380 § A) |
| 409.410. | (Repealed L. 2003 H.B. 380 § A) |
| 409.411. | (Repealed L. 2003 H.B. 380 § A) |
| 409.412. | (Repealed L. 2003 H.B. 380 § A) |
| 409.413. | (Repealed L. 2003 H.B. 380 § A) |
| 409.414. | (Repealed L. 2003 H.B. 380 § A) |
| 409.415. | (Repealed L. 2003 H.B. 380 § A) |
| 409.416. | (Repealed L. 2003 H.B. 380 § A) |
| 409.418. | (Repealed L. 2003 H.B. 380 § A) |
| 409.420. | (Repealed L. 2003 H.B. 380 § A) |
| 409.421. | (Repealed L. 2003 H.B. 380 § A) |
| 409.500. | Short title. |
| 409.506. | Definitions. |
| 409.511. | Requirements, offeror must send registration statement--solicitations, |
| | recommendations, file with commissioner. |
| 409.516. | Registration statement, contents--material changes, notice to |
| | commissioner, how. |
| 409.521. | Commissioner may make investigations, seek injunctions, when. |
| 409.526. | Penalties. |
| 409.531. | Commissioner may promulgate rules, establish fees. |
| 409.536. | Attorney general may prosecute, how. |
| 409.541. | Secretary of state deemed offeror's agent, when--service of process, |
| | how, effective when. |
| 409.546. | Fraudulent practices not allowed, solicitation of offerees. |
| 409.551. | Exceptions. |
| 409.556. | Construction of statutes. |
| 409.561. | Additional requirements, when applicable. |
| 409.566. | Unlawful practices, offeree may bring suit, damages, attorney fees. |
| 409.800. | Definitions. |
| 409.803. | Prohibited contracts--exemptions. |
| 409.806. | Exempt transaction--rules, generally, this chapter, procedure. |
| 409.808. | Commodity merchants--license required, boards of trade--designation |
| | required. |
| 409.810. | Prohibited acts. |
| 409.813. | Principals, agents, joint and several liability--when. |
| 409.816. | Applicability of other laws. |
| 409.818. | Intent of law. |
| 409.820. | Investigations by commissioner, subpoena powers--judicial enforcement. |
| 409.823. | Violations--powers of commissioner. |
| 409.826. | Violations of domestic or foreign laws, rules--legal and equitable |
| | remedies. |
| 409.828. | Penalties. |
| 409.830. | Insiders--restricted use of information, data to be public, |
| | exceptions. |
| 409.833. | Cooperation with other jurisdictions, agencies. |
| 409.836. | General authority of commissioner. |
| 409.838. | Service of process, appointment of commissioner as agent for service. |
| 409.840. | Application of sections 409.803, 409.808, 409.810, offers to sell, |
| | buy--where deemed made. |
| 409.843. | Administrative procedure, notice of intent, summary order, notice, |
| | hearing. |
| 409.846. | Judicial review of commissioner's orders--procedure--standard of |
| | review. |
| 409.848. | Exemptions--burden of proof. |
| 409.850. | Broker-dealers, sales representatives--applications for |
| | licenses--fees. |
| 409.853. | Examinations. |
| 409.856. | Licenses--effective date--expiration--classification, sales |
| | representatives--restrictions--exceptions. |
| 409.858. | Annual report, records--amendment, broker--dealers--capital |
| | requirements--fidelity bonds--financial reports. |
| 409.860. | Records--examination without notice--fees. |
| 409.863. | Licenses--denial, suspension, revocation, limitations, |
| | cancellation--grounds. |
| 409.950. | Fiduciaries and employee retirement systems, investment in certain |
| | multinational development banks authorized. |
| 409.1000. | Business opportunities--definitions. |
| 409.1003. | Practices prohibited--penalty. |
| 409.1006. | Civil remedies. |
| 409.1-101. | Short title. |
| 409.1-102. | Definitions. |
| 409.1-103. | References to federal statutes. |
| 409.1-104. | References to federal agencies. |
| 409.1-105. | Electronic records and signatures. |
| 409.2-201. | Exempt securities. |
| 409.2-202. | Exempt transactions. |
| 409.2-203. | Additional exemptions and waivers. |
| 409.2-204. | Denial, suspension, revocation, condition, or limitation of |
| | exemptions. |
| 409.3-301. | Securities registration requirement. |
| 409.3-302. | Notice filing. |
| 409.3-303. | Securities registration by coordination. |
| 409.3-304. | Securities registration by qualification. |
| 409.3-305. | Securities registration filings. |
| 409.3-306. | Denial, suspension, and revocation of securities registration. |
| 409.3-307. | Waiver and modification. |
| 409.4-401. | Broker-dealer registration requirement and exemptions. |
| 409.4-402. | Agent registration requirement and exemptions. |
| 409.4-403. | Investment adviser registration requirement and exemptions. |
| 409.4-404. | Investment adviser representative registration requirement and |
| | exemptions. |
| 409.4-405. | Federal covered investment adviser notice filing requirement. |
| 409.4-406. | Registration by broker-dealer, agent, investment adviser, and |
| | investment adviser representative. |
| 409.4-407. | Succession and change in registration of broker-dealer or investment |
| | adviser. |
| 409.4-408. | Termination of employment or association of agent and investment |
| | adviser representative and transfer of employment or association. |
| 409.4-409. | Withdrawal of registration of broker-dealer, agent, investment |
| | adviser, and investment adviser representative. |
| 409.4-410. | Filing fees. |
| 409.4-411. | Postregistration requirements. |
| 409.4-412. | Denial, revocation, suspension, withdrawal, restriction, condition, |
| | or limitation of registration. |
| 409.5-501. | General fraud. |
| 409.5-502. | Prohibited conduct in providing investment advice. |
| 409.5-503. | Evidentiary burden. |
| 409.5-504. | Filing of sales and advertising literature. |
| 409.5-505. | Misleading filings. |
| 409.5-506. | Misrepresentations concerning registration or exemption. |
| 409.5-507. | Qualified immunity. |
| 409.5-508. | Criminal penalties. |
| 409.5-509. | Civil liability. |
| 409.5-510. | Rescission offers. |
| 409.6-601. | Administration. |
| 409.6-602. | Investigations and subpoenas. |
| 409.6-603. | Civil enforcement. |
| 409.6-604. | Administrative enforcement. |
| 409.6-605. | Rules, forms, orders, interpretive opinions, and hearings. |
| 409.6-606. | Administrative files and opinions. |
| 409.6-607. | Public records; confidentiality. |
| 409.6-608. | Uniformity and cooperation with other agencies. |
| 409.6-609. | Judicial review. |
| 409.6-610. | Jurisdiction. |
| 409.6-611. | Service of process. |
| 409.6-612. | Severability clause. |
| 409.7-701. | Effective date. |
| 409.7-702. | Repeals. |
| 409.7-703. | Application of act to existing proceedings and existing rights and |
| | duties. |
Missouri General Assembly