Title XXVI — TRADE AND COMMERCE

409.830. Insiders — restricted use of information, data to be public, exceptions. — 1. Sections 409.800 to 409.863 shall be administered by the commissioner. Neither the commissioner nor any employees of the commissioner shall use any information which is filed with or obtained b…

409.833. Cooperation with other jurisdictions, agencies. — 1. To encourage uniform application and interpretation of sections 409.800 to 409.863 and securities regulation and enforcement in general, the commissioner and the employees of the commissioner may cooperate, including b…

409.836. General authority of commissioner. — In addition to specific authority granted elsewhere in sections 409.800 to 409.863, the commissioner may make, amend, and rescind rules, forms, and orders as are necessary to carry out the provisions of* sections 409.800 to 409.863. ­…

[Repealed or reserved.]

409.840. Application of sections 409.803, 409.808, 409.810, offers to sell, buy — where deemed made. — 1. Sections 409.803, 409.808 and 409.810 apply to persons who: (1) Sell or offer to sell when: (a) An offer to sell is made in this state; or (b) An offer to buy is made and acc…

409.843. Administrative procedure, notice of intent, summary order, notice, hearing. — 1. The commissioner shall commence an administrative proceeding under sections 409.800 to 409.863 by entering either a notice of intent to do a contemplated act or a summary order. The notice o…

409.846. Judicial review of commissioner's orders — procedure — standard of review. — 1. Any person aggrieved by a final order of the commissioner may obtain judicial review of such order in the manner provided in chapter 536 for the review of contested cases. 2. Upon the filing …

409.848. Exemptions — burden of proof. — It shall not be necessary to negative any of the exemptions of sections 409.800 to 409.863 in any complaint, information or indictment, or any writ or proceeding brought under sections 409.800 to 409.863; and the burden of proof of any suc…

409.850. Broker-dealers, sales representatives — applications for licenses — fees. — 1. An applicant for licensing as a commodity broker-dealer or commodity sales representative shall file with the commissioner an application for licensing together with a consent to service of pr…

409.853. Examinations. — 1. The commissioner may, by rule or order, impose an examination requirement upon: (1) Any applicant applying for licensing under sections 409.850 to 409.863; or (2) Any class of applicants. 2. Any examination required may be administered by the commissio…

409.856. Licenses — effective date — expiration — classification, sales representatives — restrictions — exceptions. — 1. Unless a proceeding under section 409.863 has been instituted, the license of any commodity broker-dealer or commodity sales representative becomes effective …

409.858. Annual report, records — amendment, broker — dealers — capital requirements — fidelity bonds — financial reports. — 1. For so long as a commodity broker-dealer or commodity sales representative is licensed under sections 409.850 to 409.863, he shall file an annual report…

409.860. Records — examination without notice — fees. — 1. The commissioner, without prior notice, may examine the records and require copies of the records which a licensed commodity broker-dealer or commodity sales representative is required to make and maintain under section 4…

409.863. Licenses — denial, suspension, revocation, limitations, cancellation — grounds. — 1. The commissioner may, by order, deny, suspend, or revoke any license, limit the activities which an applicant or licensed person may perform in this state, conserve any applicant or lice…

409.950. Fiduciaries and employee retirement systems, investment in certain multinational development banks authorized. — Notwithstanding any other law to the contrary, securities or other obligations issued by multinational development banks in which the United States is a membe…