PURPOSE: This rule prescribes policies applicable to the exemption on approved stock exchanges of securities listed or approved for listing upon notice of issuance.

1. (1) Stock exchanges specified by or approved under section 409.402(a)(8) of the Missouri Uniform Securities Act (the Act) are as follows:

   1. (A) The Chicago Stock Exchange;
   2. (B) The Chicago Board Options Exchange;
   3. (C) Tier I or II of the Pacific Stock Exchange; and
   4. (D) Tier I of the Philadelphia Stock Exchange, Inc.
2. (2) Any individual who represents an issuer of a security exempted by section 409.402(a)(8), RSMo in effecting transactions listed in that section, other than in transactions exempted by section 409.402(b), RSMo or in transactions with existing employees, partners or directors of the issuer with no commission or other remuneration being paid or given directly or indirectly for soliciting any person in Missouri, is an agent (section 409.401(b), RSMo) and is required to be registered as an agent (section 409.201(a), RSMo).

AUTHORITY: sections 409.402(a)(8), RSMo Supp. 2002 and 409.413(a), RSMo 2000.* 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 March 21, 1974, effective April 1, 1974. Amended: Filed Nov. 15, 1974, effective Nov. 25, 1974. Amended: Filed Sept. 25, 1991, effective Feb. 6, 1992. Amended: Filed Dec. 1, 1994, effective June 30, 1995. Amended: Filed Feb. 18, 2003, effective Aug. 30, 2003.

*Original authority: 409.402, RSMo 1967, amended 1977, 1978, 1986, 2002 and 409.413, RSMo 1967.