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Title XXVI TRADE AND COMMERCE

Chapter 409 Regulation of Securities ^  !
FRAUDULENT AND OTHER PROHIBITED PRACTICES
409.107   Investment firms, legal firms, other persons shall not be involved with ... (8/28/2007)
409.108   Tampering with securities documents or impeding investigations prohibited. (8/28/2004)
409.109   Penalty. (8/28/2004)
409.111   Commissioner of securities may investigate violations. (8/28/2004)
409.112   Commissioner of securities may seek relief for violations, when. (8/28/2004)
409.113   Commissioner of securities may issue orders, when. (8/28/2004)
409.114   Duties and powers of commissioner of securities. (8/28/2004)
TAKEOVER BID DISCLOSURE ACT
409.500   Short title. (8/28/1986)
409.506   Definitions. (8/28/1986)
409.511   Requirements, offeror must send registration statement — solicitations, ... (8/28/1986)
409.516   Registration statement, contents — material changes, notice to ... (8/28/1986)
409.521   Commissioner may make investigations, seek injunctions, when. (8/28/1986)
409.526   Penalties. (8/28/1986)
409.531   Commissioner may promulgate rules, establish fees. (8/28/1986)
409.536   Attorney general may prosecute, how. (8/28/1986)
409.541   Secretary of state deemed offeror's agent, when — service of process, how, ... (8/28/1986)
409.546   Fraudulent practices not allowed, solicitation of offerees. (8/28/1986)
409.551   Exceptions. (8/28/1986)
409.556   Construction of statutes. (8/28/1986)
409.561   Additional requirements, when applicable. (8/28/1986)
409.566   Unlawful practices, offeree may bring suit, damages, attorney fees. (8/28/1986)
SENIOR SAVINGS PROTECTION ACT
409.600   Citation of law. (8/28/2015)
409.605   Definitions. (8/28/2015)
409.610   Notification of agencies and family members. (8/28/2015)
409.615   Refusal of request for disbursement, when — expiration. (8/28/2015)
409.620   Immunity from liability, when. (8/28/2015)
409.625   Records, provided to agencies or law enforcement, when. (8/28/2015)
409.630   Website for training resources to prevent and detect financial exploitation. (8/28/2015)
COMMODITIES, REGULATION
409.800   Definitions. (8/28/1985)
409.803   Prohibited contracts — exemptions. (8/28/1985)
409.806   Exempt transaction — rules, generally, this chapter, procedure. (8/28/1995)
409.808   Commodity merchants — license required, boards of trade — designation required. (8/28/1985)
409.810   Prohibited acts. (8/28/1985)
409.813   Principals, agents, joint and several liability — when. (8/28/1985)
409.816   Applicability of other laws. (8/28/1985)
409.818   Intent of law. (8/28/1985)
409.820   Investigations by commissioner, subpoena powers — judicial enforcement. (8/28/1985)
409.823   Violations — powers of commissioner. (8/28/1985)
409.826   Violations of domestic or foreign laws, rules — legal and equitable remedies. (8/28/1985)
409.828   Penalties. (8/28/1985)
409.830   Insiders — restricted use of information, data to be public, exceptions. (8/28/1985)
409.833   Cooperation with other jurisdictions, agencies. (8/28/1985)
409.836   General authority of commissioner. (8/28/1985)
409.838   Service of process, appointment of commissioner as agent for service. (8/28/1985)
409.840   Application of sections 409.803, 409.808, 409.810, offers to sell, buy — ... (8/28/1985)
409.843   Administrative procedure, notice of intent, summary order, notice, hearing. (8/28/1985)
409.846   Judicial review of commissioner's orders — procedure — standard of review. (8/28/1985)
409.848   Exemptions — burden of proof. (8/28/1985)
409.850   Broker-dealers, sales representatives — applications for licenses — fees. (8/28/1985)
409.853   Examinations. (8/28/1985)
409.856   Licenses — effective date — expiration — classification, sales ... (8/28/1985)
409.858   Annual report, records — amendment, broker — dealers — capital requirements ... (8/28/1985)
409.860   Records — examination without notice — fees. (8/28/1985)
409.863   Licenses — denial, suspension, revocation, limitations, cancellation — grounds. (8/28/1985)
FIDUCIARIES AND EMPLOYEE RETIREMENT SYSTEMS, INVESTMENTS BY
409.950   Fiduciaries and employee retirement systems, investment in certain ... (8/28/2007)
REGULATION OF BUSINESS OPPORTUNITIES
409.1000   Business opportunities — definitions. (8/28/2000)
409.1003   Practices prohibited — penalty. (8/28/2000)
409.1006   Civil remedies. (8/28/2000)
MISSOURI SECURITIES ACT OF 2003 (UNIFORM SECURITIES ACT)_ARTICLE 1._GENERAL PROVISIONS
409.1-101   Short title. (9/1/2003)
409.1-102   Definitions. (9/1/2003)
409.1-103   References to federal statutes. (9/1/2003)
409.1-104   References to federal agencies. (9/1/2003)
409.1-105   Electronic records and signatures. (9/1/2003)
ARTICLE 2._EXEMPTIONS FROM REGISTRATION OF SECURITIES
409.2-201   Exempt securities. (9/1/2003)
409.2-202   Exempt transactions. (8/28/2005)
409.2-203   Additional exemptions and waivers. (9/1/2003)
409.2-204   Denial, suspension, revocation, condition, or limitation of exemptions. (9/1/2003)
ARTICLE 3._REGISTRATION OF SECURITIES AND NOTICE FILING OF FEDERAL COVERED SECURITIES
409.3-301   Securities registration requirement. (9/1/2003)
409.3-302   Notice filing. (9/1/2003)
409.3-303   Securities registration by coordination. (9/1/2003)
409.3-304   Securities registration by qualification. (9/1/2003)
409.3-305   Securities registration filings. (9/1/2003)
409.3-306   Denial, suspension, and revocation of securities registration. (9/1/2003)
409.3-307   Waiver and modification. (9/1/2003)
ARTICLE 4._BROKER-DEALERS, AGENTS, INVESTMENT ADVISERS, INVESTMENT ADVISER REPRESENTATIVES, AND FEDERAL COVERED INVESTMENT ADVISERS
409.4-401   Broker-dealer registration requirement and exemptions. (9/1/2003)
409.4-402   Agent registration requirement and exemptions. (9/1/2003)
409.4-403   Investment adviser registration requirement and exemptions. (9/1/2003)
409.4-404   Investment adviser representative registration requirement and exemptions. (9/1/2003)
409.4-405   Federal covered investment adviser notice filing requirement. (9/1/2003)
409.4-406   Registration by broker-dealer, agent, investment adviser, and investment ... (9/1/2003)
409.4-407   Succession and change in registration of broker-dealer or investment adviser. (9/1/2003)
409.4-408   Termination of employment or association of agent and investment adviser ... (9/1/2003)
409.4-409   Withdrawal of registration of broker-dealer, agent, investment adviser, and ... (9/1/2003)
409.4-410   Filing fees. (9/1/2003)
409.4-411   Postregistration requirements. (9/1/2003)
409.4-412   Denial, revocation, suspension, withdrawal, restriction, condition, or ... (9/1/2003)
ARTICLE 5._FRAUD AND LIABILITIES
409.5-501   General fraud. (9/1/2003)
409.5-502   Prohibited conduct in providing investment advice. (9/1/2003)
409.5-503   Evidentiary burden. (9/1/2003)
409.5-504   Filing of sales and advertising literature. (9/1/2003)
409.5-505   Misleading filings. (9/1/2003)
409.5-506   Misrepresentations concerning registration or exemption. (9/1/2003)
409.5-507   Qualified immunity. (9/1/2003)
409.5-508   Criminal penalties. (8/28/2009)
409.5-509   Civil liability. (9/1/2003)
409.5-510   Rescission offers. (9/1/2003)
ARTICLE 6._ADMINISTRATION AND JUDICIAL REVIEW
409.6-601   Administration. (9/1/2003)
409.6-602   Investigations and subpoenas. (9/1/2003)
409.6-603   Civil enforcement. (9/1/2003)
409.6-604   Administrative enforcement. (8/28/2009)
409.6-605   Rules, forms, orders, interpretive opinions, and hearings. (9/1/2003)
409.6-606   Administrative files and opinions. (9/1/2003)
409.6-607   Public records; confidentiality. (9/1/2003)
409.6-608   Uniformity and cooperation with other agencies. (9/1/2003)
409.6-609   Judicial review. (9/1/2003)
409.6-610   Jurisdiction. (9/1/2003)
409.6-611   Service of process. (9/1/2003)
409.6-612   Severability clause. (9/1/2003)
ARTICLE 7._TRANSITION
409.7-701   Effective date. (9/1/2003)
409.7-702   Repeals. (9/1/2003)
409.7-703   Application of act to existing proceedings and existing rights and duties. (9/1/2003)
 - Cross References
Criminal activity forfeiture act (CAFA), definitions applicable to this chapter, 513.605

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