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U.S. State Codes
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Missouri
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Title XXVI - Trade and Comm...
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Chapter 409 - Regulation of Securities
Chapter 409 - Regulation of Securities
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 Notification of agencies and family members.
Section 409.615 Refusal of request for disbursement, 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.
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.