PURPOSE: This rule prescribes transactions exempted pursuant to section 409.402(c), RSMo, for Canadians who are temporarily a resident in or visiting this state and persons in the state who are holders of or contributors to Canadian self-directed tax advantaged retirement accounts.

1. (1) Any offer or sale of a security effected by a Canadian broker-dealer excluded from definition of broker-dealer pursuant to 15 CSR 30-51.180 is exempted from the securities registration requirements of section 409.301, RSMo.

AUTHORITY: section 409.402(c) and 409.413, RSMo 2000.* Original rule filed Dec. 28, 2001, effective July 30, 2002.

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