Missouri Administrative Code

(Rescinded November 11, 1984) ............................................................8 15 CSR 30-52.271 Missouri Issuer Registration (Rescinded February 28, 2003)...........................8

(Rescinded February 28, 2003) .............................................................8

(Rescinded February 28, 2003) .............................................................8 15 CSR 30-52.275 Small Company Offering Registrations (formerly Missouri Issuer Registration)....8 15 CSR 30-52.280 Withdrawal of a Registration Statement.................................…

tration Statement (B) Any inaccurate, incorrect, or mislead- the U.S. Securities and Exchange Commis- ing statements contained in the registration sion. PURPOSE: This rule prescribes policies and statement. procedures for withdrawing a registration (C) Any material change relatin…

(Rescinded February 28, 2003) ters of vote by security holders; and of an offering in Missouri, the registrant shall 16. Change in financial condition or provide a written statement to the Securities AUTHORITY: sections 409.302(c), financial statements, including financial fore- …

ments and Notices to a Registration State- to any other state or regulatory authority for AUTHORITY: sections 409.3-305(i) and ment permission to withdraw any application to 409.6-605, RSMo Supp. 2003.* Original rule register the securities covered by the registra- filed June 25,…

1. The type of securities sold; 2. With respect to every elected official Renewal of a Registration Statement 2. The number and amount of securities performing legislative functions for the sold; issuer, the chief executive officer of the issuer PURPOSE: This rule requires that a…

by Issuers other selling expenses, including legal, engi- PURPOSE: This rule specifies the securities registration requirements created by sections neering and accounting charges; the name PURPOSE: This rule prescribes the records and address of every underwriter and every to be …

Bonds determining them and their maximum and

To Be Filed, Permitted Without Filing and and circumstances unless those facts and cir- (B) Dividend notices, proxy statements, Prohibited cumstances are stated and modified or and reports to shareholders, including invest- explained by additional facts or circum- ment company qu…

filed for investment companies, that include an open-end or PURPOSE: This rule prescribes general policies and procedures closed-end investment company, unit investment trust or face applicable to exemptions from the registration of securities. amount certificate company, as thos…

(Rescinded February 29, 2004) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 4

or Similar Association Securities (Rescinded February 29, 2004) . . . . . . . 4

Company Securities . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 4 15 CSR 30-54.060 Stock Exchange Listed Securities . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 4 15 CSR 30-54.070 Not-for-Profit Securities …

cross-reference table to indicate compliance with, or deviation PURPOSE: This rule prescribes policies applicable to the exemption from, the various sections of the applicable NASAA statement on approved stock exchanges of securities listed or approved for of policy. listing upon…

(Rescinded February 29, 2004) (1) Any purchaser acquiring a security pursuant to the exemption specified in section 409.2-202(6) of the Missouri Securities Act AUTHORITY: sections 409.402(a)(10) and 409.413(a), RSMo 1986. of 2003 shall acknowledge in writing that his/her order to…

(Rescinded February 29, 2004) 2003.* Original rule filed June 25, 1968, effective Aug. 1, 1968. Amended: Filed May 21, 1969, effective Aug. 1, 1969. Amended: AUTHORITY: sections 409.402(a)(11) and 409.413(a), RSMo 1986. Original rule filed June 25, 1968, effective Aug. 1, 1968. A…

(6) Filing Fee. Each request for exemption under section 409.2– 201(7)(B), RSMo shall include a filing fee of one hundred dollars PURPOSE: This rule prescribes recognized securities manuals ($100) as specified in Missouri regulation 15 CSR 30-50.030. and policies applicable to no…

Exemption PURPOSE: This rule prescribes policies on the availability of the (Rescinded February 29, 2004) exemption of evidence of indebtedness and the related security documents offered or sold as a unit. AUTHORITY: sections 409.402(b)(10) and 409.413(a), RSMo 1986. Original rul…

PURPOSE: This rule prescribes the meaning of terms and conditions Pursuant to subsection (D), of section 409.2-202(14) of the used in the transactional exemption of section 409.2-202(14) Missouri Securities Act of 2003, I hereby represent that I am under the Missouri Securities A…

(Rescinded February 29, 2004) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 6 15 CSR 30-54.150 Suggested Form of Investment Letter . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 6 Denny Hoskins (11/30/25) CODE OF STATE REGULATIONS 1 Secr…

*Original authority: 409.2-202, RSMo 2003; 409.6-605, RSMo 2003. PURPOSE: This rule suggests the form of an investment letter for securities offered pursuant to section 409.2-202(14), RSMo.…

(Rescinded February 29, 2004) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 7 15 CSR 30-54.170 Preeffective Offer Exemption . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 7 15 CSR 30-54.175 Solicitation of Interest . . . …

and all related documents with the Securities Division as part PURPOSE: This rule prescribes policies applicable to the availability of the registration statement prior to making any solicitations of transactional exemptions to offers of securities as to which of interest under t…

1, 1973. Amended: Filed March 21, 1974, effective April 1, 1974. PURPOSE: This rule prescribes the procedures and the record that Amended: Filed Nov. 15, 1974, effective Nov. 25, 1974. Rescinded: needs to be provided to offerees to comply with section 409.2- Filed Aug. 11, 1978, …

Exemption (Rescinded February 11, 1979) . . . . . . . . . . . . . . . . . . . . . . . . . . . . 7 15 CSR 30-54.183 Exemption for Reporting Company Securities . . . . . . . . . . . . . . . . . . . . . . . . 7 15 CSR 30-54.190 New Generation Processing Entity Exemption . . . . . . …

Exemption (B) All proceeds raised by the new generation processing entity from the sale of securities pursuant to this exemption PURPOSE: This rule complies with the Missouri Securities Act of are held in escrow until the Missouri Agricultural and Small 2003 and prescribes the qu…

I. A plan of distribution section; PURPOSE: This rule complies with the Missouri Securities Act of J. A summary of capitalization; 2003 and prescribes the qualifications for the exemption under K. A description of any material pending legal the Missouri Securities Act of 2003 for…

(Rescinded November 11, 1984) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 10 15 CSR 30-54.205 Notice Filing Requirement for Regulation A-Tier 2 Offering . . . . . . . . . . . 10 15 CSR 30-54.210 Notice Filings for Transactions under Regulation D, Rule …

applicable to transactions in Missouri under Regulation D, Rule A–Tier 2 Offering 506. PURPOSE: This rule prescribes the policies and procedures (1) Rule 506. The issuer shall file a notice under section 409.3- applicable to offerings made in Missouri under Tier 2 of federal 302(…

exercise of reasonable care, based on a factual inquiry, could PURPOSE: This rule more clearly describes the exemption of offers not have known that a disqualification existed under this and sales to accredited investors from the requirements of sections section. 409.3-301 and 40…

Systems . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 12

(Rescinded April 30, 2004) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 14 15 CSR 30-54.240 Missouri Issuer Exemption (Rescinded April 30, 2004) . . . . . . . . . . . . . . . . . 14 15 CSR 30-54.250 Missouri Qualified Fund Exemption . . . . . …

(Rescinded April 30, 2004)

in a security traded on a foreign stock exchange, foreign PURPOSE: This rule provides an exemption for securities offered automated quotation system, or an American Depository pursuant to section 100.390, RSMo when certain conditions are Receipt; provided— met. 1. The security is…

AUTHORITY: sections 409.402(c) and 409.413(a), RSMo 1986. Original rule filed June 2, 1986, effective Oct. 27, 1986. Amended: PURPOSE: This rule exempts the securities of foreign issuers that Filed Oct. 15, 1987, effective Jan. 29, 1988. Amended: Filed March satisfy certain stand…

(Rescinded April 30, 2004) AUTHORITY: section 409.413(a), RSMo 1986. Emergency rule filed Dec. 21, 1992, effective Dec. 31, 1992, expired April 29, 1993. Emergency rule filed April 14, 1993, effective April 30, 1993, expired Aug. 27, 1993. Original rule filed Feb. 5, 1993, effect…

Trading Exemption PURPOSE: This rule prescribes transactions exempted pursuant to section 409.2-203, RSMo, for Canadians who are temporarily Denny Hoskins (11/30/25) CODE OF STATE REGULATIONS 15 Secretary of State…

(Rescinded February 29, 2004) ___________________ 20______ AUTHORITY: sections 409.402(b)(8) and 409.413(a), RSMo 1986. (Name and Address of Issuer) Original rule filed June 2, 1986, effective Oct. 27, 1986. Emergency rescission filed Aug. 29, 2003, effective Sept. 12, 2003, expi…

(A) Any person aggrieved by denial of a of hearing, and how notice will be served. PURPOSE: This rule sets out who may broker-dealer, agent, investment adviser, or request hearings upon matters under the Mis- investment adviser representative registration (1) Request for Hearing.…

Procedures commissioner orders additional time. All answers shall be in writing and should admit the hearing in the case is actually held. After those portions of the petition which respon- this time, all modifications or amendments to PURPOSE: This rule describes the general ans…

and legal basis for the action of the commis- AUTHORITY: sections 409.6-605, RSMo mentary Pleadings sioner. Supp. 2003 and 409.836, RSMo 2000.* Orig- PURPOSE: This rule describes the form and inal rule filed Aug. 11, 1978, effective Feb. (2) Amendments and Supplementary Plead- co…

an attorney. Any motion for such must be PURPOSE: This rule describes the setting filed fifteen (15) days prior to the date of the and subject matter of the prehearing confer- PURPOSE: This rule states that all hearings will be public and that the parties may attend hearing sched…

30, 2002. Emergency amendment filed Aug. PURPOSE: This rule outlines procedures for, 29, 2003, effective Sept. 12, 2003, expired and permits time limits on, discovery. 15 CSR 30-55.090 Procedure at Hearing March 9, 2004. Amended: Filed Aug. 29, 2003, effective Feb. 29, 2004. (1) …

and Legal Briefs for Missouri Commodities Act Emergency rule filed Oct. 2, 1985, effective (3) When the adjudicatory proceeding has PURPOSE: This rule states when motions, Oct. 12, 1985, expired Feb. 9, 1986. been completed, the hearing officer shall rec- suggestions and legal br…

Commodities Act..............................................................................7 15 CSR 30-55.130 Answers and Supplementary Pleadings for Commodities Act..........................7 15 CSR 30-55.140 Notice of Hearing for Missouri Commodities Act .....................…