Missouri Administrative Code

Exemption PURPOSE: This rule prescribes policies on the availability of the (Rescinded February 29, 2004) exemption of evidence of indebtedness and the related security documents offered or sold as a unit.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(Rescinded February 29, 2004) .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(Rescinded February 29, 2004) .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 Rescinded: needs to be provided to offerees to comply with section 409.2- Filed Aug. 11, 1978, …

Exemption (Rescinded February 11, 1979) .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 .....................…

29, 2003, effective Feb. 29, 2004. Amended: Missouri Commodities Act signee may appoint a hearing officer to con- Filed July 19, 2019, effective Jan. 30, 2020. duct the proceeding. Emergency rule filed Oct. 2, 1985, effective *Original authority: 409.6-602, RSMo 2003; 409.6-605, …

AUTHORITY: sections 409.6-602, 409.6- 15 CSR 30-55.130 Answers and Supple- 605, and 409.820, RSMo 2016.* Original mentary Pleadings for Commodities Act PURPOSE: This rule provides for the rule filed Aug. 11, 1978, effective Feb. 11, appointment of hearing officers by the secre- E…

(Rescinded February 26, 1993).............................................................3 15 CSR 30-56.015 Filing Requirements ...........................................................................3 15 CSR 30-56.020 Fees (Rescinded February 26, 1993) ......................…

PURPOSE: This rule specifies the filing

AUTHORITY: section 409.413, RSMo 1986. (Rescinded February 26, 1993) Feb. 11, 1979. Rescinded: Filed June 24, Emergency rule filed Aug. 11, 1978, effective Aug. 23, 1978, expired Dec. 21, 1978. 1992, effective Feb. 26, 1993. AUTHORITY: section 409.413, RSMo 1986. Original rule fi…

requirements of the Missouri Takeover Bid Disclosure Act. PURPOSE: This rule clarifies the meaning of tender offer as defined in the Missouri Take- (1) Every person filing the registration state- over Bid Disclosure Act. ment required by section 409.511, RSMo shall pay a fee of t…

(Rescinded February 26, 1993).............................................................3 15 CSR 30-56.050 Hearing Procedure (Rescinded February 26, 1993)......................................3 MATT BLUNT (11/30/02) CODE OF STATE REGULATIONS 1 Secretary of State Chapter 56—Take…

Statement (Rescinded February 26, 1993)

Bid

(Rescinded February 26, 1993) Emergency rule filed Aug. 11, 1978, effective Aug. 23, 1978, expired Dec. 21, 1978. Orig- AUTHORITY: section 409.413, RSMo 1986. inal rule filed Aug. 11, 1978, effective Feb. Emergency rule filed Aug. 11, 1978, effective 11, 1979. Rescinded: Filed Ju…

Process (Rescinded February 26, 1993) MATT BLUNT (11/30/02) CODE OF STATE REGULATIONS 3 Secretary of State

AUTHORITY: section 409.413, RSMo 1986. (Rescinded February 26, 1993) Emergency rule filed Aug. 11, 1978, effective Aug. 23, 1978, expired Dec. 21, 1978. Orig- AUTHORITY: section 409.413, RSMo 1986. inal rule filed Aug. 11, 1978, effective Feb. Emergency rule filed Aug. 11, 1978, …

PURPOSE: This rule sets out hearing condi- (Rescinded February 26, 1993) tions to be met after disclosure is made, before making the bid to offerees. AUTHORITY: section 409.413, RSMo 1986. Emergency rule filed Aug. 11, 1978, effective (1) Before making the take-over bid and after…

(Rescinded February 26, 1993).............................................................3 MATT BLUNT (11/30/02) CODE OF STATE REGULATIONS 1 Secretary of State Chapter 57—Take-over Bid Disclosure: Disclosure Filings 15 CSR 30-57 Title 15—ELECTED OFFICIALS AUTHORITY: section 409.…

(Rescinded February 26, 1993) AUTHORITY: section 409.413, RSMo 1986. Emergency rule filed Aug. 11, 1978, effective Aug. 23, 1978, expired Dec. 21, 1978. Orig- inal rule filed Aug. 11, 1978, effective Feb. 11, 1979. Rescinded: Filed June 24, 1992, effective Feb. 26, 1993. 15 CSR 3…

(Rescinded February 26, 1993).............................................................3 MATT BLUNT (11/30/02) CODE OF STATE REGULATIONS 1 Secretary of State Chapter 58—Take-over Bid Disclosure: Exemptions 15 CSR 30-58 Title 15—ELECTED OFFICIALS Division 30—Secretary of State …

effecting transactions in commodities under experience in the commodities business, is of PURPOSE: The commissioner of securities any commodity contract or under any com- good repute and has otherwise fully satisfied under the direction of the secretary of state modity option for…

Therefore, the material which is so incorpo- see 15 CSR 30-59.040) and accompanied by PURPOSE: This rule prescribes the forms the filing fee (section 409.850, RSMo and 15 rated is on file with the agency who filed this adopted and approved for filing with the com- CSR30-59.030(2)…

(Rescinded August 30, 2003) ...............................................................4

(Rescinded August 30, 2003) ...............................................................4 15 CSR 30-59.070 Application for Registration..................................................................4 15 CSR 30-59.080 Examination..............................................…