Mo. Rev. Stat. ch. 409 – Regulation of Securities | Midpage409.1000Business opportunities — definitions409.1003Practices prohibited — penalty409.1006Civil remedies409.107Investment firms, legal firms, other persons shall not be involved with issuance of bonds, when409.108Tampering with securities documents or impeding investigations prohibited409.109Penalty409.111Commissioner of securities may investigate violations409.112Commissioner of securities may seek relief for violations, when409.113Commissioner of securities may issue orders, when409.114Duties and powers of commissioner of securities409.500Short title409.506Definitions409.511Requirements, offeror must send registration statement — solicitations, recommendations, file with commissioner409.516Registration statement, contents — material changes, notice to commissioner, how409.521Commissioner may make investigations, seek injunctions, when409.526Penalties409.531Commissioner may promulgate rules, establish fees409.536Attorney general may prosecute, how409.541Secretary of state deemed offeror's agent, when — service of process, how, effective when409.546Fraudulent practices not allowed, solicitation of offerees409.551Exceptions409.556Construction of statutes409.561Additional requirements, when applicable409.566Unlawful practices, offeree may bring suit, damages, attorney fees409.600Citation of law409.605Definitions409.610Financial exploitation, notification of agencies and family members409.615Refusal of request for disbursement or transaction, when — expiration409.620Immunity from liability, when409.625Records, provided to agencies or law enforcement, when409.630Website for training resources to prevent and detect financial exploitation409.800Definitions409.803Prohibited contracts — exemptions409.806Exempt transaction — rules, generally, this chapter, procedure409.808Commodity merchants — license required, boards of trade — designation required409.810Prohibited acts409.813Principals, agents, joint and several liability — when409.816Applicability of other laws409.818Intent of law409.820Investigations by commissioner, subpoena powers — judicial enforcement409.823Violations — powers of commissioner409.826Violations of domestic or foreign laws, rules — legal and equitable remedies409.828Penalties409.830Insiders — restricted use of information, data to be public, exceptions409.833Cooperation with other jurisdictions, agencies409.836General authority of commissioner409.838Service of process, appointment of commissioner as agent for service409.840Application of sections 409.803, 409.808, 409.810, offers to sell, buy — where deemed made409.843Administrative procedure, notice of intent, summary order, notice, hearing409.846Judicial review of commissioner's orders — procedure — standard of review409.848Exemptions — burden of proof409.850Broker-dealers, sales representatives — applications for licenses — fees409.853Examinations409.856Licenses — effective date — expiration — classification, sales representatives — restrictions — exceptions409.858Annual report, records — amendment, broker — dealers — capital requirements — fidelity bonds — financial reports409.860Records — examination without notice — fees409.863Licenses — denial, suspension, revocation, limitations, cancellation — grounds409.950Fiduciaries and employee retirement systems, investment in certain multinational development banks authorized409.1-101Short title409.1-102Definitions409.1-103References to federal statutes409.1-104References to federal agencies409.1-105Electronic records and signatures409.2-201Exempt securities409.2-202Exempt transactions409.2-203Additional exemptions and waivers409.2-204Denial, suspension, revocation, condition, or limitation of exemptions409.3-301Securities registration requirement409.3-302Notice filing409.3-303Securities registration by coordination409.3-304Securities registration by qualification409.3-305Securities registration filings409.3-306Denial, suspension, and revocation of securities registration409.3-307Waiver and modification409.4-401Broker-dealer registration requirement and exemptions409.4-402Agent registration requirement and exemptions409.4-403Investment adviser registration requirement and exemptions409.4-404Investment adviser representative registration requirement and exemptions409.4-405Federal covered investment adviser notice filing requirement409.4-406Registration by broker-dealer, agent, investment adviser, and investment adviser representative409.4-407Succession and change in registration of broker-dealer or investment adviser409.4-408Termination of employment or association of agent and investment adviser representative and transfer of employment or association409.4-409Withdrawal of registration of broker-dealer, agent, investment adviser, and investment adviser representative409.4-410Filing fees409.4-411Postregistration requirements409.4-412Denial, revocation, suspension, withdrawal, restriction, condition, or limitation of registration409.5-501General fraud409.5-502Prohibited conduct in providing investment advice409.5-503Evidentiary burden409.5-504Filing of sales and advertising literature409.5-505Misleading filings409.5-506Misrepresentations concerning registration or exemption409.5-507Qualified immunity409.5-508Criminal penalties409.5-509Civil liability409.5-510Rescission offers409.6-601Administration409.6-602Investigations and subpoenas409.6-603Civil enforcement409.6-604Administrative enforcement409.6-605Rules, forms, orders, interpretive opinions, and hearings409.6-606Administrative files and opinions409.6-607Public records; confidentiality409.6-608Uniformity and cooperation with other agencies409.6-609Judicial review409.6-610Jurisdiction409.6-611Service of process409.6-612Severability clause409.7-701Effective date409.7-702Repeals409.7-703Application of act to existing proceedings and existing rights and duties