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2018 Missouri Revised Statutes
Title XXVI - Trade and Commerce
Chapter 409 - Regulation of Securities

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Chapter Cross References

FRAUDULENT AND OTHER PROHIBITED PRACTICES

Section 409.107 Investment firms, legal firms, other persons shall not be involved with issuance of bonds, when. (8/28/2007)
Section 409.108 Tampering with securities documents or impeding investigations prohibited. (8/28/2004)
Section 409.109 Penalty. (8/28/2004)
Section 409.111 Commissioner of securities may investigate violations. (8/28/2004)
Section 409.112 Commissioner of securities may seek relief for violations, when. (8/28/2004)
Section 409.113 Commissioner of securities may issue orders, when. (8/28/2004)
Section 409.114 Duties and powers of commissioner of securities. (8/28/2004)

TAKEOVER BID DISCLOSURE ACT

Section 409.500 Short title. (8/28/1986)
Section 409.506 Definitions. (8/28/1986)
Section 409.511 Requirements, offeror must send registration statement — solicitations, recommendations, file with commissioner. (8/28/1986)
Section 409.516 Registration statement, contents — material changes, notice to commissioner, how. (8/28/1986)
Section 409.521 Commissioner may make investigations, seek injunctions, when. (8/28/1986)
Section 409.526 Penalties. (8/28/1986)
Section 409.531 Commissioner may promulgate rules, establish fees. (8/28/1986)
Section 409.536 Attorney general may prosecute, how. (8/28/1986)
Section 409.541 Secretary of state deemed offeror's agent, when — service of process, how, effective when. (8/28/1986)
Section 409.546 Fraudulent practices not allowed, solicitation of offerees. (8/28/1986)
Section 409.551 Exceptions. (8/28/1986)
Section 409.556 Construction of statutes. (8/28/1986)
Section 409.561 Additional requirements, when applicable. (8/28/1986)
Section 409.566 Unlawful practices, offeree may bring suit, damages, attorney fees. (8/28/1986)

SENIOR SAVINGS PROTECTION ACT

Section 409.600 Citation of law. (8/28/2015)
Section 409.605 Definitions. (8/28/2015)
Section 409.610 Notification of agencies and family members. (8/28/2015)
Section 409.615 Refusal of request for disbursement, when — expiration. (8/28/2015)
Section 409.620 Immunity from liability, when. (8/28/2015)
Section 409.625 Records, provided to agencies or law enforcement, when. (8/28/2015)
Section 409.630 Website for training resources to prevent and detect financial exploitation. (8/28/2015)

COMMODITIES, REGULATION

Section 409.800 Definitions. (8/28/1985)
Section 409.803 Prohibited contracts — exemptions. (8/28/1985)
Section 409.806 Exempt transaction — rules, generally, this chapter, procedure. (8/28/1995)
Section 409.808 Commodity merchants — license required, boards of trade — designation required. (8/28/1985)
Section 409.810 Prohibited acts. (8/28/1985)
Section 409.813 Principals, agents, joint and several liability — when. (8/28/1985)
Section 409.816 Applicability of other laws. (8/28/1985)
Section 409.818 Intent of law. (8/28/1985)
Section 409.820 Investigations by commissioner, subpoena powers — judicial enforcement. (8/28/1985)
Section 409.823 Violations — powers of commissioner. (8/28/1985)
Section 409.826 Violations of domestic or foreign laws, rules — legal and equitable remedies. (8/28/1985)
Section 409.828 Penalties. (8/28/1985)
Section 409.830 Insiders — restricted use of information, data to be public, exceptions. (8/28/1985)
Section 409.833 Cooperation with other jurisdictions, agencies. (8/28/1985)
Section 409.836 General authority of commissioner. (8/28/1985)
Section 409.838 Service of process, appointment of commissioner as agent for service. (8/28/1985)
Section 409.840 Application of sections 409.803, 409.808, 409.810, offers to sell, buy — where deemed made. (8/28/1985)
Section 409.843 Administrative procedure, notice of intent, summary order, notice, hearing. (8/28/1985)
Section 409.846 Judicial review of commissioner's orders — procedure — standard of review. (8/28/1985)
Section 409.848 Exemptions — burden of proof. (8/28/1985)
Section 409.850 Broker-dealers, sales representatives — applications for licenses — fees. (8/28/1985)
Section 409.853 Examinations. (8/28/1985)
Section 409.856 Licenses — effective date — expiration — classification, sales representatives — restrictions — exceptions. (8/28/1985)
Section 409.858 Annual report, records — amendment, broker — dealers — capital requirements — fidelity bonds — financial reports. (8/28/1985)
Section 409.860 Records — examination without notice — fees. (8/28/1985)
Section 409.863 Licenses — denial, suspension, revocation, limitations, cancellation — grounds. (8/28/1985)

FIDUCIARIES AND EMPLOYEE RETIREMENT SYSTEMS, INVESTMENTS BY

Section 409.950 Fiduciaries and employee retirement systems, investment in certain multinational development banks authorized. (8/28/2007)

REGULATION OF BUSINESS OPPORTUNITIES

Section 409.1000 Business opportunities — definitions. (8/28/2000)
Section 409.1003 Practices prohibited — penalty. (8/28/2000)
Section 409.1006 Civil remedies. (8/28/2000)

MISSOURI SECURITIES ACT OF 2003 (UNIFORM SECURITIES ACT)_ARTICLE 1._GENERAL PROVISIONS

Section 409.1-101 Short title. (9/1/2003)
Section 409.1-102 Definitions. (9/1/2003)
Section 409.1-103 References to federal statutes. (9/1/2003)
Section 409.1-104 References to federal agencies. (9/1/2003)
Section 409.1-105 Electronic records and signatures. (9/1/2003)

ARTICLE 2._EXEMPTIONS FROM REGISTRATION OF SECURITIES

Section 409.2-201 Exempt securities. (9/1/2003)
Section 409.2-202 Exempt transactions. (8/28/2005)
Section 409.2-203 Additional exemptions and waivers. (9/1/2003)
Section 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

Section 409.3-301 Securities registration requirement. (9/1/2003)
Section 409.3-302 Notice filing. (9/1/2003)
Section 409.3-303 Securities registration by coordination. (9/1/2003)
Section 409.3-304 Securities registration by qualification. (9/1/2003)
Section 409.3-305 Securities registration filings. (9/1/2003)
Section 409.3-306 Denial, suspension, and revocation of securities registration. (9/1/2003)
Section 409.3-307 Waiver and modification. (9/1/2003)

ARTICLE 4._BROKER-DEALERS, AGENTS, INVESTMENT ADVISERS, INVESTMENT ADVISER REPRESENTATIVES, AND FEDERAL COVERED INVESTMENT ADVISERS

ARTICLE 5._FRAUD AND LIABILITIES

Section 409.5-501 General fraud. (9/1/2003)
Section 409.5-502 Prohibited conduct in providing investment advice. (9/1/2003)
Section 409.5-503 Evidentiary burden. (9/1/2003)
Section 409.5-504 Filing of sales and advertising literature. (9/1/2003)
Section 409.5-505 Misleading filings. (9/1/2003)
Section 409.5-506 Misrepresentations concerning registration or exemption. (9/1/2003)
Section 409.5-507 Qualified immunity. (9/1/2003)
Section 409.5-508 Criminal penalties. (8/28/2009)
Section 409.5-509 Civil liability. (9/1/2003)
Section 409.5-510 Rescission offers. (9/1/2003)

ARTICLE 6._ADMINISTRATION AND JUDICIAL REVIEW

Section 409.6-601 Administration. (9/1/2003)
Section 409.6-602 Investigations and subpoenas. (9/1/2003)
Section 409.6-603 Civil enforcement. (9/1/2003)
Section 409.6-604 Administrative enforcement. (8/28/2009)
Section 409.6-605 Rules, forms, orders, interpretive opinions, and hearings. (9/1/2003)
Section 409.6-606 Administrative files and opinions. (9/1/2003)
Section 409.6-607 Public records; confidentiality. (9/1/2003)
Section 409.6-608 Uniformity and cooperation with other agencies. (9/1/2003)
Section 409.6-609 Judicial review. (9/1/2003)
Section 409.6-610 Jurisdiction. (9/1/2003)
Section 409.6-611 Service of process. (9/1/2003)
Section 409.6-612 Severability clause. (9/1/2003)

ARTICLE 7._TRANSITION

Section 409.7-701 Effective date. (9/1/2003)
Section 409.7-702 Repeals. (9/1/2003)
Section 409.7-703 Application of act to existing proceedings and existing rights and duties. (9/1/2003)

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