2021 Missouri Revised Statutes
Title XXVI - Trade and Commerce
Chapter 409 - Regulation of Securities

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

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. (8/28/2020)
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. (8/28/2020)
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)

CHAPTER CROSS REFERENCES

Criminal activity forfeiture act (CAFA), definitions applicable to this chapter, 513.605

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2021 Missouri Revised StatutesTitle XXVI - Trade and CommerceChapter 409 - Regulation of Securities

2021 Missouri Revised Statutes
Title XXVI - Trade and Commerce
Chapter 409 - Regulation of Securities