Missouri Chapter 409 — Regulation of Securities

58 sections hosted, reproduced from the official public-domain source.

Mo. Rev. Stat. § 409.107— Investment firms, legal firms, other persons shall not be involved with..
Mo. Rev. Stat. § 409.108— Tampering with securities documents or impeding investigations prohibited
Mo. Rev. Stat. § 409.109— Penalty
Mo. Rev. Stat. § 409.111— Commissioner of securities may investigate violations
Mo. Rev. Stat. § 409.112— Commissioner of securities may seek relief for violations, when
Mo. Rev. Stat. § 409.113— Commissioner of securities may issue orders, when
Mo. Rev. Stat. § 409.114— Duties and powers of commissioner of securities
Mo. Rev. Stat. § 409.500— Short title
Mo. Rev. Stat. § 409.506— Definitions
Mo. Rev. Stat. § 409.511— Requirements, offeror must send registration statement — solicitations,..
Mo. Rev. Stat. § 409.516— Registration statement, contents — material changes, notice to..
Mo. Rev. Stat. § 409.521— Commissioner may make investigations, seek injunctions, when
Mo. Rev. Stat. § 409.526— Penalties
Mo. Rev. Stat. § 409.531— Commissioner may promulgate rules, establish fees
Mo. Rev. Stat. § 409.536— Attorney general may prosecute, how
Mo. Rev. Stat. § 409.541— Secretary of state deemed offeror's agent, when — service of process, how,..
Mo. Rev. Stat. § 409.546— Fraudulent practices not allowed, solicitation of offerees
Mo. Rev. Stat. § 409.551— Exceptions
Mo. Rev. Stat. § 409.556— Construction of statutes
Mo. Rev. Stat. § 409.561— Additional requirements, when applicable
Mo. Rev. Stat. § 409.566— Unlawful practices, offeree may bring suit, damages, attorney fees
Mo. Rev. Stat. § 409.600— Citation of law
Mo. Rev. Stat. § 409.605— Definitions
Mo. Rev. Stat. § 409.610— Financial exploitation, notification of agencies and family members
Mo. Rev. Stat. § 409.615— Refusal of request for disbursement or transaction, when — expiration
Mo. Rev. Stat. § 409.620— Immunity from liability, when
Mo. Rev. Stat. § 409.625— Records, provided to agencies or law enforcement, when
Mo. Rev. Stat. § 409.630— Website for training resources to prevent and detect financial exploitation
Mo. Rev. Stat. § 409.800— Definitions
Mo. Rev. Stat. § 409.803— Prohibited contracts — exemptions
Mo. Rev. Stat. § 409.806— Exempt transaction — rules, generally, this chapter, procedure
Mo. Rev. Stat. § 409.808— Commodity merchants — license required, boards of trade — designation required
Mo. Rev. Stat. § 409.810— Prohibited acts
Mo. Rev. Stat. § 409.813— Principals, agents, joint and several liability — when
Mo. Rev. Stat. § 409.816— Applicability of other laws
Mo. Rev. Stat. § 409.818— Intent of law
Mo. Rev. Stat. § 409.820— Investigations by commissioner, subpoena powers — judicial enforcement
Mo. Rev. Stat. § 409.823— Violations — powers of commissioner
Mo. Rev. Stat. § 409.826— Violations of domestic or foreign laws, rules — legal and equitable remedies
Mo. Rev. Stat. § 409.828— Penalties
Mo. Rev. Stat. § 409.830— Insiders — restricted use of information, data to be public, exceptions
Mo. Rev. Stat. § 409.833— Cooperation with other jurisdictions, agencies
Mo. Rev. Stat. § 409.836— General authority of commissioner
Mo. Rev. Stat. § 409.838— Service of process, appointment of commissioner as agent for service
Mo. Rev. Stat. § 409.840— Application of sections 409.803, 409.808, 409.810, offers to sell, buy —..
Mo. Rev. Stat. § 409.843— Administrative procedure, notice of intent, summary order, notice, hearing
Mo. Rev. Stat. § 409.846— Judicial review of commissioner's orders — procedure — standard of review
Mo. Rev. Stat. § 409.848— Exemptions — burden of proof
Mo. Rev. Stat. § 409.850— Broker-dealers, sales representatives — applications for licenses — fees
Mo. Rev. Stat. § 409.853— Examinations
Mo. Rev. Stat. § 409.856— Licenses — effective date — expiration — classification, sales..
Mo. Rev. Stat. § 409.858— Annual report, records — amendment, broker — dealers — capital requirements..
Mo. Rev. Stat. § 409.860— Records — examination without notice — fees
Mo. Rev. Stat. § 409.863— Licenses — denial, suspension, revocation, limitations, cancellation — grounds
Mo. Rev. Stat. § 409.950— Fiduciaries and employee retirement systems, investment in certain..
Mo. Rev. Stat. § 409.1000— Business opportunities — definitions
Mo. Rev. Stat. § 409.1003— Practices prohibited — penalty
Mo. Rev. Stat. § 409.1006— Civil remedies