Mo. Code Regs. Ann. tit. 15, § 30-52.140
Periodic Payment Plans
Effective Jan 15, 1993sections 409.306 and 409.413(a), RSMo (1986).* Original rule filed June 25, 1968, effective Aug. 1, 1968. Amended: Filed May 21, 1969, effective Aug. 1, 1969. Amended: Filed July 21, 1972, effective Aug. 1, 1972. Amended: Filed Nov. 15, 1974, effective Nov. 25, 1974. Amended: Filed April 14, 1992, effective Jan. 15, 1993. *Original authority: 409.306, RSMo (1967), amended 1977 and 409.413(a), RSMo (1967)Secretary of State
PURPOSE: This rule prescribes registration requirements for periodic payment plans.
- (1) Periodic payment plan certificates, as defined in Section 2(a)(27), Investment Company Act of 1940, shall be registered with the Securities and Exchange Commission prior to or simultaneously with registration under the Act.
- (2) Periodic Payment Plans shall substantially comply, as determined by the commissioner by order or otherwise, with the North American Securities Administrator’s Association, Inc. Guidelines for Registration of Periodic Payment Plans.
AUTHORITY: sections 409.306 and 409.413(a), RSMo (1986).* Original rule filed June 25, 1968, effective Aug. 1, 1968. Amended: Filed May 21, 1969, effective Aug. 1, 1969. Amended: Filed July 21, 1972, effective Aug. 1, 1972. Amended: Filed Nov. 15, 1974, effective Nov. 25, 1974. Amended: Filed April 14, 1992, effective Jan. 15, 1993. *Original authority: 409.306, RSMo (1967), amended 1977 and 409.413(a), RSMo (1967).