Missouri Revised Statutes

Chapter 409
Regulation of Securities

(View Entire Chapter)

August 28, 2013
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Sections:
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 (Repealed L. 2003 H.B. 380 A)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 (Repealed L. 2003 H.B. 380 A)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 (Repealed L. 2003 H.B. 380 A)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 (Repealed L. 2003 H.B. 380 A)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 (Repealed L. 2003 H.B. 380 A)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 (Repealed L. 2003 H.B. 380 A)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 (Repealed L. 2003 H.B. 380 A)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 (Repealed L. 2003 H.B. 380 A)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 (Repealed L. 2003 H.B. 380 A)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 (Repealed L. 2003 H.B. 380 A)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 (Repealed L. 2003 H.B. 380 A)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 (Repealed L. 2003 H.B. 380 A)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 (Repealed L. 2003 H.B. 380 A)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 (Repealed L. 2003 H.B. 380 A)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 (Repealed L. 2003 H.B. 380 A)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 (Repealed L. 2003 H.B. 380 A)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 (Repealed L. 2003 H.B. 380 A)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 (Repealed L. 2003 H.B. 380 A)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 (Repealed L. 2003 H.B. 380 A)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 (Repealed L. 2003 H.B. 380 A)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 (Repealed L. 2003 H.B. 380 A)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 (Repealed L. 2003 H.B. 380 A)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 (Repealed L. 2003 H.B. 380 A)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 (Repealed L. 2003 H.B. 380 A)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 (Repealed L. 2003 H.B. 380 A)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 (Repealed L. 2003 H.B. 380 A)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 (Repealed L. 2003 H.B. 380 A)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 (Repealed L. 2003 H.B. 380 A)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 (Repealed L. 2003 H.B. 380 A)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 (Repealed L. 2003 H.B. 380 A)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 (Repealed L. 2003 H.B. 380 A)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 (Repealed L. 2003 H.B. 380 A)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.

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