Section 409.826 – Violations of domestic or foreign laws, rules — legal and equitable remedies.
Effective – 28 Aug 1985 409.826. Violations of domestic or foreign laws, rules — legal and equitable remedies. — 1. (1) Upon a proper showing by the commissioner that a person has violated, or is about to violate, any provision of sections 409.800 to 409.863 or any rule or order of the commissioner, the circuit […]
Section 409.828 – Penalties.
Effective – 28 Aug 1985 409.828. Penalties. — 1. Any person who willfully violates any provision of sections 409.800 to 409.863 shall, upon conviction, be fined not more than twenty thousand dollars or imprisoned for not more than ten years, or both, for each such violation. 2. The commissioner may refer such evidence as is […]
Section 409.630 – Website for training resources to prevent and detect financial exploitation.
Effective – 28 Aug 2020, 2 histories 409.630. Website for training resources to prevent and detect financial exploitation. — No later than September 1, 2021, the commissioner of securities shall develop and make available a website that includes training resources to assist broker-dealers, investment advisers, agents, and investment adviser representatives in the prevention and detection […]
Section 409.800 – Definitions.
Effective – 28 Aug 1985 409.800. Definitions. — As used in sections 409.800 to 409.863, the following terms shall mean: (1) “CFTC Rule”, any rule or order of the Commodity Futures Trading Commission; (2) “Board of trade”, any person or group of persons engaged in buying or selling any commodity or receiving the same for […]
Section 409.803 – Prohibited contracts — exemptions.
Effective – 28 Aug 1985 409.803. Prohibited contracts — exemptions. — 1. Except as otherwise provided in subdivision (1) of subsection 1 of section 409.806, no person shall offer to enter into, enter into, or confirm the execution of, any transaction for the delivery of any commodity under a commodity contract commonly known as a […]
Section 409.566 – Unlawful practices, offeree may bring suit, damages, attorney fees.
Effective – 28 Aug 1986 409.566. Unlawful practices, offeree may bring suit, damages, attorney fees. — Any offeree whose equity securities are the subject of a takeover bid and who has been injured by any violation of sections 409.500 to 409.566 may bring an action in his or her own name to enjoin such unlawful […]
Section 409.600 – Citation of law.
Effective – 28 Aug 2015 409.600. Citation of law. — Sections 409.600 to 409.630 may be cited as the “Senior Savings Protection Act”. ——– (L. 2015 S.B. 244)
Section 409.605 – Definitions.
Effective – 28 Aug 2020, 2 histories 409.605. Definitions. — As used in sections 409.600 to 409.630, the following terms shall mean: (1) “Agencies”, the department of health and senior services and the commissioner of securities; (2) “Agent”, shall have the same meaning as in section 409.1-102; (3) “Broker-dealer”, shall have the same meaning as […]
Section 409.610 – Financial exploitation, notification of agencies and family members.
Effective – 28 Aug 2020, 2 histories 409.610. Financial exploitation, notification of agencies and family members. — If a qualified individual reasonably believes that financial exploitation of a qualified adult has occurred, has been attempted, or is being attempted, the qualified individual may notify the agencies. Subsequent to notifying the agencies, an agent, investment adviser […]
Section 409.615 – Refusal of request for disbursement or transaction, when — expiration.
Effective – 28 Aug 2020, 2 histories 409.615. Refusal of request for disbursement or transaction, when — expiration. — 1. A qualified individual may refuse a request for disbursement or transaction from the account of a qualified adult, or an account on which a qualified adult is a beneficiary or beneficial owner, if: (1) The […]