☰ Revisor of Missouri
View entire chapter

 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. (8/28/2020)
409.610   Financial exploitation, notification of agencies and family members. (8/28/2020)
409.615   Refusal of request for disbursement or transaction, when — expiration. (8/28/2020)
409.620   Immunity from liability, when. (8/28/2020)
409.625   Records, provided to agencies or law enforcement, when. (8/28/2020)
409.630   Website for training resources to prevent and detect financial exploitation. (8/28/2020)
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. (8/28/2020)
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 ... (8/28/2020)
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. (8/28/2020)
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

Official Website for the Revised Statutes of Missouri

6 Oct 2024 11:38


Click here for the Reorganization Act of 1974 - or - Concurrent Resolutions Having Force & Effect of Law
In accordance with Section 3.090, the language of statutory sections enacted during a legislative session are updated and available on this website on the effective date of such enacted statutory section. Revisor Home    

Other Information
 Recent Sections Editorials May Be Cited As Tables & Forms Multiple Enact
Repeal & Transfer Definitions End Report

Site changes Pictures Contact

Other Links
Legislative Research Oversight MOLIS
Library MO WebMasters
Senate
Missouri Senate
State of Missouri
MO.gov
House
Missouri House