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Missouri Code of State Regulations

Chapter 59

Mo. Code Regs. Ann. tit. 15, ch. 30-59

Registration and Operations of Commodity Broker-Dealers and Sales Representatives

Secretary of State

15 CSR 30-59.010Definitions 15 CSR 30-59.020General Instructions 15 CSR 30-59.030Fees 15 CSR 30-59.040Forms 15 CSR 30-59.050Broker-Dealer, Sales Representative Statutory Bond (Rescinded August 30, 2003)15 CSR 30-59.060Application for Renewal Registration as Sales Representative (Rescinded August 30, 2003)15 CSR 30-59.070Application for Registration 15 CSR 30-59.080Examination 15 CSR 30-59.090Financial Statements 15 CSR 30-59.100Net Capital Requirements for Broker-Dealers 15 CSR 30-59.110Broker-Dealer Notice of Net Capital Deficiency 15 CSR 30-59.120Bonds 15 CSR 30-59.130Segregation of Accounts by Broker-Dealers 15 CSR 30-59.140Confirmations 15 CSR 30-59.150Records Required of Broker-Dealers and Sales Representatives 15 CSR 30-59.160Records to be Preserved by Broker-Dealers 15 CSR 30-59.170Effectiveness and Post- Effective Requirements 15 CSR 30-59.180Denial, Revocation and Suspension of Registration 15 CSR 30-59.190Disclosure Statements 15 CSR 30-59.200Promotional Materials to be Filed, Permitted Without Filing and Prohibited