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Missouri Administrative Code

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Missouri/Administrative Code

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Missouri Administrative Code

8,242 sections across 1,588 Missouri regulatory chapters.

All chapters8,242 Chapter 3. State Sales Tax247 Ch 16-30-3, Chapter 3. Missouri State Medical Ca…82 Chapter 5. Wildlife Code: Permits78 Chapter 23. Motor Vehicle65 Ch 9-30-3, Chapter 3. Alcohol and Drug Abuse Pr…59 Chapter 24. Driver License Bureau Rules57 Chapter 400. Office of Educator Quality48 Ch 10-10-6, Chapter 6. Air Quality Standards, De…47 Chapter 4. State Use Tax47 Chapter 30. Bingo45 Chapter 2. Income Tax45 Ch 13-40-81, Chapter 81. Vendor Payment for Medic…45 Ch 10-10-5, Chapter 5. Air Quality Standards and…43 Chapter 2. Motor Vehicle Inspection43

8,242 sections

15-30-45-15 CSR 30-45.030 Local Records Grant
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Program Administration Public Records may be accessed on the sec- grant— retary of state website: A. Activities, requirements, and PURPOSE: This rule outlines the process of www.sos.mo.gov/archives/localrecs/grants. objectives; administering the grants-in-aid program for B. Cost-…
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15-30-45-15 CSR 30-45.040 Missouri Historical Records Advisory Board (MHRAB)
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Regrant Program Administration ...........................................................3 JOHN R. ASHCROFT (11/30/19) CODE OF STATE REGULATIONS 1 Secretary of State Chapter 45—Records Management 15 CSR 30-45 Title 15—ELECTED OFFICIALS 2. The MHRAB reviews and evaluates this rul…
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15-30-5-15 CSR 30-5.020 Mail Ballot Election Pro-
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Showing 5,701–5,750 of 8,242

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cedures and Forms (K) The procedures to establish the list of qualified voters who are to receive a ballot. PURPOSE: This rule provides requirements for local election authorities to fulfill for con- (3) Printed materials, when possible, shall be ducting Mail Ballot Elections. pr…

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15-30-50-15 CSR 30-50.010 Definitions

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Act, means standing alone, disconnected from any other PURPOSE: This rule defines certain terms used in the administration transactions; of the Missouri Securities Act of 2003 and in the corresponding (N) NASAA means the North American Securities rules, forms, and orders made. Ad…

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15-30-50-15 CSR 30-50.020 General Instructions

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consistent with section 409.6-607, RSMo. PURPOSE: This rule prescribes general matters within the commis- sioner’s jurisdiction. AUTHORITY: sections 409.6-605, 409.6-606 and 409.6-607, RSMo Supp. 2003.* Original rule filed June 25, 1968, effective Aug. 1, 1968. (1) Office Hours. …

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15-30-50-15 CSR 30-50.050 Application for Registration as Broker-Dealer of Securities

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(Rescinded November 11, 1984) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 7

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15-30-50-15 CSR 30-50.060 Computation of Net Capital, Aggregate Indebtedness and Ratio of

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Aggregate Indebtedness to Net Capital (Rescinded November 11, 1984) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 7

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15-30-50-15 CSR 30-50.070 Broker-Dealer, Agent, Investment Adviser Statutory Bond

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(Rescinded February 12, 1987) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 7

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15-30-50-15 CSR 30-50.080 Request for Withdrawal from Registration as Broker-Dealer

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(Rescinded November 11, 1984) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 7

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15-30-50-15 CSR 30-50.090 Application for Registration as an Investment Adviser

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(Rescinded November 11, 1984) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 8

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15-30-50-15 CSR 30-50.100 Appointment of Agent by Broker-Dealer or Issuer

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(Rescinded November 11, 1984) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 8 15 CSR 30-50.110 Application for Registration as Agent (Rescinded November 11, 1984) . . . 8

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15-30-50-15 CSR 30-50.110 Application for Registration as Agent

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(Rescinded November 11, 1984) AUTHORITY: section 409.413(a), RSMo 1994. Original rule filed AUTHORITY: section 409.413(a), RSMo 1978. Original rule filed Dec. 5, 1975, effective Dec. 15, 1975. Emergency amendment filed Dec. 5, 1975, effective Dec. 15, 1975. Rescinded: Filed Aug. …

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15-30-50-15 CSR 30-50.120 Application for Renewal Registration as Agent

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(Rescinded July 30, 2002) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 8 15 CSR 30-50.130 Registration of Securities by Notification (Rescinded July 30, 2002) . . . . . 8

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15-30-50-15 CSR 30-50.130 Registration of Securities by Notification

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(Rescinded July 30, 2002) 15 CSR 30-50.190 Appointment of the Commissioner of Securities to Acknowledge and Receive Service of Process AUTHORITY: section 409.413(a), RSMo 1994. Original rule filed (Rescinded November 11, 1984) Dec. 5, 1975, effective Dec. 15, 1975. Emergency amen…

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15-30-50-15 CSR 30-50.140 Application for Registration of Securities by Coordination

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(Rescinded November 11, 1984) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 8

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15-30-50-15 CSR 30-50.150 Application for Registration of Securities by Qualification

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(Rescinded July 30, 2002) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 8 Denny Hoskins (11/30/25) CODE OF STATE REGULATIONS 1 Secretary of State 15 CSR 30-50.160 Investment Company Report of Sales (Rescinded July 30, 2002) . . . . . . . . 8 …

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15-30-50-15 CSR 30-50.170 In the Matter of the Condition of

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15-30-50-15 CSR 30-50.190 Appointment of the Commissioner of Securities to Acknowledge

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and Receive Service of Process (Rescinded November 11, 1984) . . . . . . . . 8

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15-30-50-15 CSR 30-50.200 Supplemental Sheet to Agent’s Application

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(Rescinded November 11, 1984) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 8

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15-30-50-15 CSR 30-50.210 Statement of Claim for the Exemption of Securities of a Cooperative

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Association (Rescinded July 30, 2002) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 8

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15-30-50-15 CSR 30-50.220 Application for Exception From Definition of Agent for Sellers of

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Agricultural Cooperative Securities (Rescinded July 30, 2002) . . . . . . . . . 9 2 CODE OF STATE REGULATIONS Denny Hoskins (11/30/25) Secretary of State 15 CSR 30-50—ELECTED OFFICIALS DIVISION 30—SECRETARY OF STATE TITLE 15—ELECTED OFFICIALS Securities Division, Office of Secret…

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15-30-51-15 CSR 30-51.010 General Instructions

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as broker-dealer shall contain the information outlined in PURPOSE: This rule covers general instructions applicable section 409.4-406(a) of the Act and in this rule. Financial to persons applying for registration as broker-dealer, agent, Industry Regulatory Authority (FINRA) mem…

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15-30-51-15 CSR 30-51.020 Applications for Registration or Notice

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Filings initial application for registration: 1. Electronically-filed Form ADV; PURPOSE: This rule prescribes the information to be contained in 2. Form SADV-1, the State Covered Investment Adviser Denny Hoskins (1/29/25) CODE OF STATE REGULATIONS 3 Secretary of State DIVISION 30…

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15-30-51-15 CSR 30-51.040 Financial Statements

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safeguards that have been established for the protection of PURPOSE: This rule prescribes the content of financial statements customers’ funds, investors would not be adversely affected. filed by persons applying for registration and by persons registered as a broker-dealer or as…

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15-30-51-15 CSR 30-51.060 Broker-Dealer Notice of Net Capital

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Deficiency agreement. PURPOSE: This rule requires broker-dealers to furnish the (2) The client may provide the same trusted contact person commissioner notice of impending net capital deficiency, and information to the investment adviser as was provided to the announces the commi…

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15-30-51-15 CSR 30-51.070 Minimum Net Worth Requirements for

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Investment Advisers AUTHORITY: sections 409.202 and 409.413(a), RSMo 1978. Original PURPOSE: This rule prescribes the minimum capital required of rule filed June 25, 1968, effective Aug. 1, 1968. Amended: Filed investment advisers. May 21, 1969, effective Aug. 1, 1969. Amended: F…

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15-30-51-15 CSR 30-51.080 Bonds

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15-30-51-15 CSR 30-51.090 Segregation of Accounts by Broker-Dealers

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AUTHORITY: sections 409.4-411(a) and 409.6-605, RSMo 2016.* Original rule filed June 25, 1968, effective Aug. 1, 1968. Amended: PURPOSE: This rule prescribes the commingling by broker-dealers 6 CODE OF STATE REGULATIONS (1/29/25) Denny Hoskins Secretary of State 15 CSR 30-51—ELEC…

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15-30-51-15 CSR 30-51.100 Custody of Securities or Funds by Investment

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Advisers (E) If a broker-dealer is acting as agent for the customer, the following additional information or a statement that same will PURPOSE: This rule prohibits the custody of clients’ securities or be furnished upon request: funds by registered investment advisers. 1. The na…

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15-30-51-15 CSR 30-51.130 Records To Be Preserved by Broker-Dealers

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(Rescinded January 30, 2020) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 8 15 CSR 30-51.140 Records Required of and To Be Preserved by Investment Advisers . . . . . . 8 15 CSR 30-51.145 Compensation Arrangements Involving Investment Advisers . . . …

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15-30-51-15 CSR 30-51.140 Records Required of and To Be Preserved by

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Investment Advisers the business of such investment adviser as such; (K) A copy of each notice, circular, advertisement, newspaper PURPOSE: This rule prescribes the books and records to be kept by article, investment letter, bulletin or other communication investment advisers tha…

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15-30-51-15 CSR 30-51.145 Compensation Arrangements Involving

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Investment Advisers be considered complete when an application, including any amendments, has been filed with the division. A completed PURPOSE: This rule permits compensation arrangements presently application shall contain comprehensive responses to all allowed by the United St…

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15-30-51-15 CSR 30-51.150 Records to be Preserved by Investment Advisers

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(Rescinded February 29, 2004) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 10 15 CSR 30-51.160 Effectiveness and Post-Effective Requirements . . . . . . . . . . . . . . . . . . . . . . 10

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15-30-51-15 CSR 30-51.160 Effectiveness

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Requirements Registration Depository (IARD) System shall be timely filed in accordance with the requirements of the CRD or IARD. PURPOSE: This rule specifies when the registration of broker- (D) An applicant for renewal registration may incorporate by dealers, agents and investme…

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15-30-51-15 CSR 30-51.165 Networking Arrangements Between Broker-Dealers and Banks,

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Trust Companies or Savings Institutions . . . . . . . . . . . . . . . . . . . . . . . . . . . . 12 Denny Hoskins (11/30/25) CODE OF STATE REGULATIONS 1 Secretary of State 15 CSR 30-51.169 Fraudulent Practices of Broker-Dealers and Agents . . . . . . . . . . . . . . . . . . . 13…

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15-30-51-15 CSR 30-51.169 Fraudulent Practices of Broker-Dealers and

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Agents of an agent with respect to sales and purchases in the same security; PURPOSE: This rule identifies practices in the securities business 8. In connection with the solicitation of a sale of an equity which are generally associated with schemes to manipulate. security, or a …

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15-30-51-15 CSR 30-51.170 Dishonest or Unethical Business Practices by Broker-Dealers and

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Agents . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 14 15 CSR 30-51.171 Supervision Guidelines for Broker-Dealers . . . . . . . . . . . . . . . . . . . . . . . . . . 16

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15-30-51-15 CSR 30-51.171 Supervision Guidelines for Broker-Dealers

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(L) The firm has and implements procedures and systems for PURPOSE: This rule provides guidance for reasonable supervision reasonable oversight of supervisors; and by broker-dealers. (M) The firm has a reasonable policy for disciplinary and progressive supervisory action, which i…

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15-30-51-15 CSR 30-51.172 Dishonest or Unethical Business Practices by Investment Advisers

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and Investment Adviser Representatives . . . . . . . . . . . . . . . . . . . . . . . . . . . . 17 15 CSR 30-51.173 Supervision Guidelines for Investment Advisers . . . . . . . . . . . . . . . . . . . . . 18

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15-30-51-15 CSR 30-51.174 Fraudulent Practices of Investment Advisers and Investment

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Adviser Representatives (Expired May 4, 2025) . . . . . . . . . . . . . . . . . . . . . . 19 15 CSR 30-51.175 Exclusion From Definition of Broker-Dealer . . . . . . . . . . . . . . . . . . . . . . . . . 19

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15-30-51-15 CSR 30-51.175 Exclusion From Definition of Broker-Dealer

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PURPOSE: The commissioner is authorized by the Missouri AUTHORITY: sections 409.1-102(4) and 409.6-605, RSMo Supp. Securities Act of 2003 to create exceptions from the definition 2003.* Original rule filed Feb. 13, 2004, effective July 30, 2004. of broker-dealer. This rule exclud…

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15-30-51-15 CSR 30-51.180 Exemptions from Registration for Broker-Dealers, Agents,

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Investment Advisers, and Investment Adviser Representatives . . . . . . . 19 2 CODE OF STATE REGULATIONS Denny Hoskins (11/30/25) Secretary of State 15 CSR 30-51—ELECTED OFFICIALS DIVISION 30—SECRETARY OF STATE TITLE 15—ELECTED OFFICIALS and the documents to accompany application…

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15-30-52-15 CSR 30-52.010 General Provisions

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cation. A registration statement to register be prepared using the following forms and PURPOSE: This rule prescribes general poli- securities by coordination or qualification shall contain the information specified in the cies, and the meaning of terms under the Act shall contain…

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15-30-52-15 CSR 30-52.015 Applications for Regis-

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tration Amended: Filed May 21, 1969, effective Aug. PURPOSE: This rule prescribes the prepara- 1, 1969. Amended: Filed July 21, 1972, PURPOSE: This rule prescribes the forms tion and use of a disclosure document in the effective Aug. 1, 1972. Amended: Filed Nov. and other documen…

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15-30-52-15 CSR 30-52.025 Financial Statements

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ed in the prospectus under a registration by 750 First Street, NE, Suite 1140, Washing- PURPOSE: This rule prescribes the general qualification. ton, DC 20002, and available at standards for financial statements to be used http://www.nasaa.org/regulatory-activity/state- (5) Prosp…

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15-30-52-15 CSR 30-52.110 Voting Rights

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(Rescinded February 28, 2003) Act: Feb. 28, 2003. 1. A gross income of forty-five thousand AUTHORITY: sections 409.306 and dollars ($45,000) and a net worth of forty- 409.413(a), RSMo 1986. Original rule filed five thousand dollars ($45,000) (exclusive of 15 CSR 30-52.150 Real Es…

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15-30-52-15 CSR 30-52.130 Loans and Other Material-Affiliated Transactions

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(Rescinded February 28, 2003) .............................................................6 15 CSR 30-52.140 Periodic Payment Plans (Rescinded February 28, 2003).................................6

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15-30-52-15 CSR 30-52.150 Real Estate Investment Trusts or Other Unincorporated Real Estate Trusts

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(Rescinded February 28, 2003) ..............................................................6

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15-30-52-15 CSR 30-52.160 Redeemable Securities Issued by Open-End Management Companies

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(Rescinded February 28, 2003) ..............................................................7

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15-30-52-15 CSR 30-52.170 Certificates of Interest or Participation in Oil or Mining Titles or Leases or

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in Payments Out of Production Thereunder (Rescinded February 11, 1979)........7 JASON KANDER (6/30/14) CODE OF STATE REGULATIONS 1 Secretary of State 15 CSR 30-52.180 Limited Partnerships (Rescinded February 28, 2003) ....................................7 15 CSR 30-52.190 Foreign…

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