Section 409.1-101 – Short title.
Effective – 01 Sep 2003 409.1-101. Short title. — Sections 409.1-101 to 409.7-703 may be cited as the “Missouri Securities Act of 2003” and in this chapter as this act. ——– (L. 2003 H.B. 380) Effective 9-01-03
Section 409.1-102 – Definitions.
Effective – 01 Sep 2003 409.1-102. Definitions. — In this act, unless the context otherwise requires: (1) “Agent” means an individual, other than a broker-dealer, who represents a broker-dealer in effecting or attempting to effect purchases or sales of securities or represents an issuer in effecting or attempting to effect purchases or sales of the […]
Section 409.850 – Broker-dealers, sales representatives — applications for licenses — fees.
Effective – 28 Aug 1985 409.850. Broker-dealers, sales representatives — applications for licenses — fees. — 1. An applicant for licensing as a commodity broker-dealer or commodity sales representative shall file with the commissioner an application for licensing together with a consent to service of process pursuant to section 409.838. The application for licensing shall […]
Section 409.853 – Examinations.
Effective – 28 Aug 1985 409.853. Examinations. — 1. The commissioner may, by rule or order, impose an examination requirement upon: (1) Any applicant applying for licensing under sections 409.850 to 409.863; or (2) Any class of applicants. 2. Any examination required may be administered by the commissioner, or his designee. Examinations may be oral, […]
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 […]