Missouri Revised Statutes

Chapter 409
Regulation of Securities

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Rsmo Number Section Description
Chapter Cross Reference
Criminal activity forfeiture act (CAFA), definitions applicable to this chapter, 513.605
   
FRAUDULENT AND OTHER PROHIBITED PRACTICES
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.
   
TAKEOVER BID DISCLOSURE ACT
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.
   
SENIOR SAVINGS PROTECTION ACT
409.600. Citation of law.
409.605. Definitions.
409.610. Notification of agencies and family members.
409.615. Refusal of request for disbursement, when--expiration.
409.620. Immunity from liability, when.
409.625. Records, provided to agencies or law enforcement, when.
409.630. Website for training resources to prevent and detect financial exploitation.
   
COMMODITIES, REGULATION
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.
   
FIDUCIARIES AND EMPLOYEE RETIREMENT SYSTEMS, INVESTMENTS BY
409.950. Fiduciaries and employee retirement systems, investment in certain multinational development banks authorized.
   
REGULATION OF BUSINESS OPPORTUNITIES
409.1000. Business opportunities--definitions.
409.1003. Practices prohibited--penalty.
409.1006. Civil remedies.
   
MISSOURI SECURITIES ACT OF 2003 (UNIFORM SECURITIES ACT) ARTICLE 1. GENERAL PROVISIONS
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.
   
ARTICLE 2. EXEMPTIONS FROM REGISTRATION OF SECURITIES
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.
   
ARTICLE 3. REGISTRATION OF SECURITIES AND NOTICE FILING OF FEDERAL COVERED SECURITIES
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.
   
ARTICLE 4. BROKER-DEALERS, AGENTS, INVESTMENT ADVISERS, INVESTMENT ADVISER REPRESENTATIVES, AND FEDERAL COVERED INVESTMENT ADVISERS
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.
   
ARTICLE 5. FRAUD AND LIABILITIES
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.
   
ARTICLE 6. ADMINISTRATION AND JUDICIAL REVIEW
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.
   
ARTICLE 7. TRANSITION
409.7-701. Effective date.
409.7-702. Repeals.
409.7-703. Application of act to existing proceedings and existing rights and duties.

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