View entire chapter

	FRAUDULENT AND OTHER PROHIBITED PRACTICES
409.107	Investment firms, legal firms, other persons shall not be involved with issuance of bonds, when. (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, recommendations, file with commissioner. (8/28/1986)
409.516	Registration statement, contents — material changes, notice to commissioner, how. (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, effective when. (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 — where deemed made. (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 representatives — restrictions — exceptions. (8/28/1985)
409.858	Annual report, records — amendment, broker — dealers — capital requirements — fidelity bonds — financial reports. (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 multinational development banks authorized. (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 adviser representative. (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 representative and transfer of employment or association. (9/1/2003)
409.4-409	Withdrawal of registration of broker-dealer, agent, investment adviser, and investment adviser representative. (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 limitation of registration. (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