Missouri Administrative Code

PURPOSE: This rule prescribes the policies (4) A net capital computation (FOCUS and procedures for administering examina- 15 CSR 30-59.090 Financial Statements Report, Form X-17A-5), as of the date of the tions of applicants for registration as broker- balance sheet, shall accomp…

either unconditionally or upon special terms dollars ($20,000), except that no such bond is ness to exceed one thousand five hundred or conditions, for a broker-dealer who satis- required of any broker-dealer whose net cap- percent (1,500%) of its net capital, without ital exceed…

Net Capital Deficiency (section 409.858(2), RSMo). (4) Every insurer shall agree to notify the PURPOSE: This rule requires broker-dealers AUTHORITY: section 409.858, RSMo 2016.* commissioner, in writing, at least thirty (30) to furnish the commissioner notice of impend- This rule…

by Broker-Dealers son or as an agent for both the customer and and capital accounts; some other person; (C) Ledger accounts itemized separately as PURPOSE: This rule prescribes the commin- (E) If a broker-dealer is acting as agent for gling by broker-dealers of their personal to …

ing to his/her business (provided, however, that compliance with the requirements of the sale of commodities for the account of the PURPOSE: This rule requires broker-dealers to confirm transactions in customers’ com- Commodity Futures Trading Commission or broker-dealer showing …

by Broker-Dealers been preserved for two (2) years, its photo- but are not limited to, the following: graph on film may be substituted for the bal- (A) Change in firm name, ownership, PURPOSE: This rule prescribes periods of ance of the required time. management or control or cha…

ments for filing sales and advertising litera- cumstances are stated and modified or PURPOSE: This rule requires broker-dealers ture of the public offering of commodities and explained by additional facts or circum- or sales representatives to furnish the cus- the types of advert…

and Prohibited................................................................................11 2 CODE OF STATE REGULATIONS (12/31/19) JOHN R. ASHCROFT Secretary of State Chapter 59—Registration and Operations of Commodity Broker-Dealers and Sales Representatives 15 CSR 30-59 Ti…

Technology Trust Fund Account voter registration system; and (J) Provide a procedure for transferring Emergency rule filed Aug. 18, 1994, data from election authorities’ existing com- effective Aug. 28, 1994, expired Dec. puterized voter registration systems located in 25, 1994. …

Registration System Advisory Committee pleasure of the secretary of state. PURPOSE: This rule establishes an (4) Committee members shall serve without advisory committee to assist the secre- compensation, except that the Office of the tary of state in establishing and main- Secre…

assault, human trafficking, stalking, or other crimes. PURPOSE: This rule facilitates the administration of the Safe at Home Program in accordance with sections 589.660–589.681, (14) Secretary—The secretary of state. This may also include the RSMo. This rule provides definitions …

Certification Process (3) The application assistant shall assist the applicant in PURPOSE: This rule facilitates the administration of the Safe at accessing and completing the application form. Under no Home Program in accordance with sections 589.660–589.681, circumstances shall…

(3) Authorized court or government agency personnel may PURPOSE: This rule facilitates the administration of the Safe at make a file photocopy of the authorization card/letter and Home Program in accordance with sections 589.660–589.681, shall immediately return the authorization…

shall destroy the expired card. PURPOSE: This rule facilitates the administration of the Safe at Home Program in accordance with sections 589.660–589.681, AUTHORITY: section 589.681, RSMo 2016.* Emergency rule filed RSMo. This rule describes the manner and process for service of …

information of the participant. PURPOSE: This rule facilitates the administration of the Safe at Home Program in accordance with sections 589.660–589.681, (3) During the review and evaluation or reconsideration of an RSMo. This rule describes the manner and process for program ag…

PURPOSE: This rule facilitates the administration of the Safe at (5) When a program participant requests use of the designated Home Program in accordance with sections 589.660–589.681, address in a record, and the law enforcement agency has RSMo. This rule describes the manner an…

Oct. 11, 2002, effective Oct. 21, 2002, terminated Oct. 25, 2002. PURPOSE: This rule ensures the uniform application of section Emergency rule filed Oct. 25, 2002, effective Nov. 4, 2002, expired 115.430, RSMo. April 18, 2003. Original rule filed Oct. 25, 2002, effective April 30…

from Business Entity Filings ................................................................3 MATT BLUNT (9/30/03) CODE OF STATE REGULATIONS 1 Secretary of State Chapter 80—Business Entities 15 CSR 30-80 Title 15—ELECTED OFFICIALS Division 30—Secretary of State Chapter 80—Busine…

(Rescinded June 30, 2024). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3 15 CSR 30-9.020 Uniform Counting Standards—Optical Scan Voting Systems . . . . . . . . . . . . . . . 3 15 CSR 30-9.030 Uniform Counting Standards—Paper Ballots. …

Voting Systems than the approved marking device which prevents a machine count shall be counted as a vote. PURPOSE: This rule provides for standards to be used by election (C) The target area next to a candidate or issue preference authorities when counting ballots cast using opt…

PURPOSE: This rule provides for standards to be used by election authorities when counting ballots cast using paper ballots. (1) The election authority shall be responsible for insuring that the standards provided for in this rule are followed when (D) The name of a candidate or …

PURPOSE: This rule sets out the procedures for the process of using stickers to vote for write-in candidates. (1) The sticker shall contain the name of a candidate, office sought, and a distinguishing mark in the square immediately preceding the name of the candidate and shall be…

(R) “Organizational number” means the ery shall be the actual time of receipt in the PURPOSE: This rule gives meaning to termi- identifying number issued to an entity upon UCC division of the filing office. The filing nology used throughout this chapter. registration in the entit…

be delivered under separate cover. AUTHORITY: section 400.9-526, RSMo PURPOSE: This rules specifies the appropri- Supp. 2001.* Original rule filed Sept. 30, ate methods of payment for filing fees. (3) All refunds shall be made in the form of a warrant issued by the state treasure…

tary of state, then the fees are those that are Underpayment of Fee otherwise provided by law. Other filing offices may enact a similar fee structure. 15 CSR 30-90.075 Bulk Records PURPOSE: This rule provides a procedure for the overpayment and underpayment of PURPOSE: This rule …

(B) Payment by Automatic Clearing House Supp. 2001.* Original rule filed Sept. 30, transfer of funds shall be accepted (ACH 2002, effective March 30, 2003. PURPOSE: This rule provides the method of accounts) for electronic filings and in accor- *Original authority: 400.9-526, RSM…

file number of the record, identification of provide any additional relevant information PURPOSE: This rule provides a clarification the debtor name that was indexed, and a requested by the secretary of state, including of filing officer’s duties relating to defects. statement th…

lation; Defects in Filing son’s knowledge; and (6) If, within thirty (30) days of the date that (D) The secretary of state, without undue PURPOSE: This rule provides guidelines for a record is rejected, a secured party or a delay, determines that the person who filed when a filin…

ing notify the filing office within thirty (30) days of the date of filing and the record will be inclusion of names in an incorrect field or PURPOSE: This rule provides a time limit corrected. If the filer communicates no failure to transmit names accurately to the fil- and proc…

Filing Initial Financing Statement addresses shall not affect the status of any of parties upon filing an assignment. debtor or secured party. If an amendment is PURPOSE: This rule provides the status of authorized by less than all of the secured par- (1) An assignment shall not …

status of the parties and the status of the debtor’s old name or the debtor’s new name ing a Continuation shall reveal the initial financing statement and financing statement shall be as follows: related UCC records. Such an amendment PURPOSE: This rule provides for the status (A…

Filing a Termination ing to the date six (6) months preceding the AUTHORITY: section 400.9-526, RSMo month in which the financing statement Supp. 2001.* Original rule filed Sept. 30, PURPOSE: This rule provides for the status 2002, effective March 30, 2003. would lapse. If there …

Filing an Information Statement ment system at any time. If the correction occurs after the filing officer has issued a cer- 15 CSR 30-90.202 Non-XML Filing and PURPOSE: This rule provides for the status tification date, the filing officer may file a fil- Search of parties upon f…

Continuation Statement 15 CSR 30-90.200 Notice of Bankruptcy UCC website on a particular debtor name may be obtained at no charge. Images of fil- PURPOSE: This rule sets a time limit for fil- PURPOSE: This rule provides procedures fol- ings that may be printed from the website ar…

date and filing time of UCC records are included on the search request; and PURPOSE: This rule establishes policies for stored in the information management sys- (C) The appropriate fee, payable by a the XML records system. tem. The calculation of the lapse date of an method appr…

of the search, except with respect to supple- PURPOSE: This rule defines the data ele- *Original authority: 400.9-526, RSMo 2001. mental responses regarding individual debtor ments that the Uniform Commercial Code names that are not automated. The following (UCC) information mana…

PURPOSE: This rule specifies the contents of search reports. (1) Reports created in response to a search request shall include the following: (A) Identification of the filing officer and the certification of the search report if requested; (B) The date the report was generated; (…

request for “John Smith” (first and last names with no designation in the middle PURPOSE: This rule explains the manner in name field), would cause the search to which searches will be conducted during the retrieve all filings against individual debtors transition period. with “J…

tion of Auditor’s Office Original rule filed June 14, 1982, effective Sept. 11, 1982. Rescinded: Filed June 14, PURPOSE: This rule states the function and 1994, effective Nov. 30, 1994. general organization of the Missouri State Auditor’s Office to comply with the require- ments …

(Rescinded February 26, 1988). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3

(Rescinded May 12, 1983) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3 15 CSR 40-2.030 Information Kept for Inventory Control (Rescinded April 13, 1978) . . . . . . . 3 15 CSR 40-2.031 Control of Fixed Assets. . . . . . . . . . . . . . . …

(Rescinded April 13, 1978) for adequate control and perform annual inventories. The preferred method is to include these sensitive items on the AUTHORITY: section 29.100 RSMo 1969; section 34.125 RSMo Supp fixed asset control system. Regardless of the method used, 1977. Original …

PURPOSE: The state auditor has the authority to establish rules for (7) Each fixed asset item shall be identified by a sequential the control of nonexpendable property by state agencies. This rule numbering system including a numbered tag or reasonable establishes the criteria fo…

code of professional ethics and rules of con- AUTHORITY: section 321.690, RSMo 2000. PURPOSE: The state auditor has authority to duct promulgated by the Missouri State Original rule filed May 12, 1978, effective establish standards and reporting require- Board of Accountancy. Sep…

and Financial Reporting Sept. 11, 1978. Amended: Filed Dec. 2, 1985, effective Feb. 13, 1986. Amended: PURPOSE: The state auditor has authority to Filed June 14, 1994, effective Nov. 30, 1994. establish standards and reporting require- Amended: Filed Dec. 17, 2009, effective July…

(Rescinded August 30, 2012) ................................................................3 ROBIN CARNAHAN (7/31/12) CODE OF STATE REGULATIONS 1 Secretary of State Chapter 5—Fiscal Notes 15 CSR 40-5 Title 15—ELECTED OFFICIALS Division 40—State Auditor Chapter 5—Fiscal Notes 15 …

tion processing owner claims for abandoned funds or property. PURPOSE: This rule describes the general (E) The program administration division organization and functions of the Missouri administers all other programs under the state treasurer’s office to comply with the authority…

Deposit Loans 1994, effective Jan. 29, 1994, expired May 28, 1994. Emergency amendment filed Jan. PURPOSE: This rule establishes the proce- 23, 1995, effective Feb. 2, 1995, expired June dure to be used to set the interest rate under 1, 1995. Amended: Filed Jan. 23, 1995, the Lin…

PURPOSE: Sections 447.500–447.595, RSMo comprise the Missouri 15 CSR 50-3.010 Unclaimed Property—General Consider- Uniform Disposition of Unclaimed Property Act. This rule ations establishes definitions to implement the Act. PURPOSE: Sections 447.500–447.595, RSMo comprise the Mi…

PURPOSE: Sections 447.500–447.595, RSMo comprise the Missouri Unclaimed Property Act. This rule provides a general description of the types of property which may be considered unclaimed within the meaning of the Act. (1) An exhaustive list of property which may be deemed unclaime…