Section 409.856 – Licenses — effective date — expiration — classification, sales representatives — restrictions — exceptions.
Effective – 28 Aug 1985 409.856. Licenses — effective date — expiration — classification, sales representatives — restrictions — exceptions. — 1. Unless a proceeding under section 409.863 has been instituted, the license of any commodity broker-dealer or commodity sales representative becomes effective thirty days after an application for licensing and the last of any […]
Section 409.858 – Annual report, records — amendment, broker — dealers — capital requirements — fidelity bonds — financial reports.
Effective – 28 Aug 1985 409.858. Annual report, records — amendment, broker — dealers — capital requirements — fidelity bonds — financial reports. — 1. For so long as a commodity broker-dealer or commodity sales representative is licensed under sections 409.850 to 409.863, he shall file an annual report, together with the fee specified by […]
Section 409.860 – Records — examination without notice — fees.
Effective – 28 Aug 1985 409.860. Records — examination without notice — fees. — 1. The commissioner, without prior notice, may examine the records and require copies of the records which a licensed commodity broker-dealer or commodity sales representative is required to make and maintain under section 409.858, within or without this state, in a […]
Section 409.863 – Licenses — denial, suspension, revocation, limitations, cancellation — grounds.
Effective – 28 Aug 1985 409.863. Licenses — denial, suspension, revocation, limitations, cancellation — grounds. — 1. The commissioner may, by order, deny, suspend, or revoke any license, limit the activities which an applicant or licensed person may perform in this state, conserve any applicant or licensed person, or bar any applicant or licensed person […]
Section 409.830 – Insiders — restricted use of information, data to be public, exceptions.
Effective – 28 Aug 1985 409.830. Insiders — restricted use of information, data to be public, exceptions. — 1. Sections 409.800 to 409.863 shall be administered by the commissioner. Neither the commissioner nor any employees of the commissioner shall use any information which is filed with or obtained by the commissioner and which is not […]
Section 409.833 – Cooperation with other jurisdictions, agencies.
Effective – 28 Aug 1985 409.833. Cooperation with other jurisdictions, agencies. — 1. To encourage uniform application and interpretation of sections 409.800 to 409.863 and securities regulation and enforcement in general, the commissioner and the employees of the commissioner may cooperate, including bearing the expense of the cooperation, with the securities agencies or administrator of […]
Section 409.836 – General authority of commissioner.
Effective – 28 Aug 1985 409.836. General authority of commissioner. — In addition to specific authority granted elsewhere in sections 409.800 to 409.863, the commissioner may make, amend, and rescind rules, forms, and orders as are necessary to carry out the provisions of* sections 409.800 to 409.863. ——– (L. 1985 H.B. 409 & 532 § […]
Section 409.838 – Service of process, appointment of commissioner as agent for service.
Effective – 28 Aug 1985 409.838. Service of process, appointment of commissioner as agent for service. — 1. Every applicant for registration under sections 409.800 to 409.863 shall file with the commissioner, in such form as he by rule prescribes, an irrevocable consent appointing the commissioner, or his successor in office, to be his attorney […]
Section 409.840 – Application of sections 409.803, 409.808, 409.810, offers to sell, buy — where deemed made.
Effective – 28 Aug 1985 409.840. Application of sections 409.803, 409.808, 409.810, offers to sell, buy — where deemed made. — 1. Sections 409.803, 409.808 and 409.810 apply to persons who: (1) Sell or offer to sell when: (a) An offer to sell is made in this state; or (b) An offer to buy is […]
Section 409.843 – Administrative procedure, notice of intent, summary order, notice, hearing.
Effective – 28 Aug 1985 409.843. Administrative procedure, notice of intent, summary order, notice, hearing. — 1. The commissioner shall commence an administrative proceeding under sections 409.800 to 409.863 by entering either a notice of intent to do a contemplated act or a summary order. The notice of intent or summary order may be entered […]