Section 409.7-701 – Effective date.
Effective – 01 Sep 2003 409.7-701. Effective date. — This act takes effect on September 1, 2003. ——– (L. 2003 H.B. 380) Effective 9-01-03
Section 409.7-702 – Repeals.
Effective – 01 Sep 2003 409.7-702. Repeals. — The following act is repealed: Missouri Securities Act of 1956, as amended, RSMo 2002. ——– (L. 2003 H.B. 380) Effective 9-01-03
Section 409.5-510 – Rescission offers.
Effective – 01 Sep 2003 409.5-510. Rescission offers. — A purchaser, seller, or recipient of investment advice may not maintain an action under section 409.5-509 if: (1) The purchaser, seller, or recipient of investment advice receives in a record, before the action is instituted: (A) An offer stating the respect in which liability under section […]
Section 409.6-601 – Administration.
Effective – 01 Sep 2003 409.6-601. Administration. — (a) This act shall be administered by the commissioner of securities who shall be appointed by and act under the direction of the secretary of state, and shall receive compensation as provided by law. (b) The attorney general shall appear on behalf of and represent the commissioner […]
Section 409.6-602 – Investigations and subpoenas.
Effective – 01 Sep 2003 409.6-602. Investigations and subpoenas. — (a) The commissioner may: (1) Conduct public or private investigations within or outside of this state which the commissioner considers necessary or appropriate to determine whether a person has violated, is violating, or is about to violate this act or a rule adopted or order […]
Section 409.6-603 – Civil enforcement.
Effective – 01 Sep 2003 409.6-603. Civil enforcement. — (a) If the commissioner believes that a person has engaged, is engaging, or is about to engage in an act, practice, or course of business constituting a violation of this act or a rule adopted or order issued under this act or that a person has, […]
Section 409.6-604 – Administrative enforcement.
Effective – 28 Aug 2020, 2 histories 409.6-604. Administrative enforcement. — (a) If the commissioner determines that a person has engaged, is engaging, or is about to engage in an act, practice, or course of business constituting a violation of this act or a rule adopted or order issued under this act or that a […]
Section 409.5-505 – Misleading filings.
Effective – 01 Sep 2003 409.5-505. Misleading filings. — It is unlawful for a person to make or cause to be made, in a record that is used in an action or proceeding or filed under this act, a statement that, at the time and in the light of the circumstances under which it is […]
Section 409.5-506 – Misrepresentations concerning registration or exemption.
Effective – 01 Sep 2003 409.5-506. Misrepresentations concerning registration or exemption. — The filing of an application for registration, a registration statement, a notice filing under this act, the registration of a person, the notice filing by a person, or the registration of a security under this act does not constitute a finding by the […]
Section 409.5-507 – Qualified immunity.
Effective – 01 Sep 2003 409.5-507. Qualified immunity. — A broker-dealer, agent, investment adviser, federal covered investment adviser, or investment adviser representative is not liable to another broker-dealer, agent, investment adviser, federal covered investment adviser, or investment adviser representative for defamation relating to a statement that is contained in a record required by the commissioner, […]