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Mo. Code Regs. Ann. tit. 15, ch. 30-51 – Broker-Dealers, Agents, Investment Advisers, and Investment Adviser Representatives | Midpage
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Missouri Code of State Regulations
Title 15
Division 30
Chapter 51
Mo. Code Regs. Ann. tit. 15, ch. 30-51
Broker-Dealers, Agents, Investment Advisers, and Investment Adviser Representatives
Secretary of State
15 CSR 30-51.010
General Instructions
15 CSR 30-51.020
Applications for Registration or Notice Filings
15 CSR 30-51.030
Examination Requirement
15 CSR 30-51.040
Financial Statements
15 CSR 30-51.050
Net Capital Re quirements for Broker- Dealers
15 CSR 30-51.060
Broker-Dealer Notice of Net Capital Deficiency
15 CSR 30-51.070
Minimum Net Worth Requirements for Investment Advisers
15 CSR 30-51.075
Trusted Contact Requirements for Investment Advisers
15 CSR 30-51.080
Bonds (Rescinded February 12, 1987)
15 CSR 30-51.090
Segregation of Accounts by Broker-Dealers
15 CSR 30-51.100
Custody of Securities or Funds by Investment Advisers
15 CSR 30-51.110
Confirmations
15 CSR 30-51.120
Records Required of Broker-Dealers
15 CSR 30-51.130
Records To Be Preserved by Broker-Dealers (Rescinded January 30, 2020)
15 CSR 30-51.140
Records Required of and To Be Preserved by Investment Advisers
15 CSR 30-51.145
Compensation Arrangements Involving Investment Advisers
15 CSR 30-51.150
Records to be Preserved by Investment Advisers (Rescinded February 29, 2004)
15 CSR 30-51.160
Effectiveness and Post-Effective Requirements
15 CSR 30-51.165
Networking Arrangements Between Broker-Dealers and Banks, Trust Companies or Savings Institutions
15 CSR 30-51.169
Fraudulent Practices of Broker-Dealers and Agents
15 CSR 30-51.170
Dishonest or Unethical Business Practices by Broker-Dealers and Agents
15 CSR 30-51.171
Supervision Guidelines for Broker-Dealers
15 CSR 30-51.172
Dishonest or Unethical Business Practices by Investment Advisers and Investment Adviser Representatives
15 CSR 30-51.173
Supervision Guidelines for Investment Advisers
15 CSR 30-51.174
Fraudulent Practices of Investment Advisers and Investment Adviser Representatives
15 CSR 30-51.175
Exclusion From Definition of Broker-Dealer
15 CSR 30-51.180
Exemptions from Registration for Broker- Dealers, Agents, Investment Advisers, and Investment Adviser Representatives