§ 409.107 Investment firms, legal firms, other persons shall not be involved with ..
§ 409.108 Tampering with securities documents or impeding investigations prohibited
§ 409.109 Penalty
§ 409.111 Commissioner of securities may investigate violations
§ 409.112 Commissioner of securities may seek relief for violations, when
§ 409.113 Commissioner of securities may issue orders, when
§ 409.114 Duties and powers of commissioner of securities
§ 409.500 Short title
§ 409.506 Definitions
§ 409.511 Requirements, offeror must send registration statement — solicitations, ..
§ 409.516 Registration statement, contents — material changes, notice to ..
§ 409.521 Commissioner may make investigations, seek injunctions, when
§ 409.526 Penalties
§ 409.531 Commissioner may promulgate rules, establish fees
§ 409.536 Attorney general may prosecute, how
§ 409.541 Secretary of state deemed offeror’s agent, when — service of process, how, ..
§ 409.546 Fraudulent practices not allowed, solicitation of offerees
§ 409.551 Exceptions
§ 409.556 Construction of statutes
§ 409.561 Additional requirements, when applicable
§ 409.566 Unlawful practices, offeree may bring suit, damages, attorney fees
§ 409.600 Citation of law
§ 409.605 Definitions
§ 409.610 Financial exploitation, notification of agencies and family members
§ 409.615 Refusal of request for disbursement or transaction, when — expiration
§ 409.620 Immunity from liability, when
§ 409.625 Records, provided to agencies or law enforcement, when
§ 409.630 Website for training resources to prevent and detect financial exploitation
§ 409.800 Definitions
§ 409.803 Prohibited contracts — exemptions
§ 409.806 Exempt transaction — rules, generally, this chapter, procedure
§ 409.808 Commodity merchants — license required, boards of trade — designation required
§ 409.810 Prohibited acts
§ 409.813 Principals, agents, joint and several liability — when
§ 409.816 Applicability of other laws
§ 409.818 Intent of law
§ 409.820 Investigations by commissioner, subpoena powers — judicial enforcement
§ 409.823 Violations — powers of commissioner
§ 409.826 Violations of domestic or foreign laws, rules — legal and equitable remedies
§ 409.828 Penalties
§ 409.830 Insiders — restricted use of information, data to be public, exceptions
§ 409.833 Cooperation with other jurisdictions, agencies
§ 409.836 General authority of commissioner
§ 409.838 Service of process, appointment of commissioner as agent for service
§ 409.840 Application of sections 409.803, 409.808, 409.810, offers to sell, buy — ..
§ 409.843 Administrative procedure, notice of intent, summary order, notice, hearing
§ 409.846 Judicial review of commissioner’s orders — procedure — standard of review
§ 409.848 Exemptions — burden of proof
§ 409.850 Broker-dealers, sales representatives — applications for licenses — fees
§ 409.853 Examinations
§ 409.856 Licenses — effective date — expiration — classification, sales ..
§ 409.858 Annual report, records — amendment, broker — dealers — capital requirements ..
§ 409.860 Records — examination without notice — fees
§ 409.863 Licenses — denial, suspension, revocation, limitations, cancellation — grounds
§ 409.950 Fiduciaries and employee retirement systems, investment in certain ..
§ 409.1000 Business opportunities — definitions
§ 409.1003 Practices prohibited — penalty
§ 409.1006 Civil remedies
§ 409.1-101 Short title
§ 409.1-102 Definitions
§ 409.1-103 References to federal statutes
§ 409.1-104 References to federal agencies
§ 409.1-105 Electronic records and signatures
§ 409.2-201 Exempt securities
§ 409.2-202 Exempt transactions
§ 409.2-203 Additional exemptions and waivers
§ 409.2-204 Denial, suspension, revocation, condition, or limitation of exemptions
§ 409.3-301 Securities registration requirement
§ 409.3-302 Notice filing
§ 409.3-303 Securities registration by coordination
§ 409.3-304 Securities registration by qualification
§ 409.3-305 Securities registration filings
§ 409.3-306 Denial, suspension, and revocation of securities registration
§ 409.3-307 Waiver and modification
§ 409.4-401 Broker-dealer registration requirement and exemptions
§ 409.4-402 Agent registration requirement and exemptions
§ 409.4-403 Investment adviser registration requirement and exemptions
§ 409.4-404 Investment adviser representative registration requirement and exemptions
§ 409.4-405 Federal covered investment adviser notice filing requirement
§ 409.4-406 Registration by broker-dealer, agent, investment adviser, and investment ..
§ 409.4-407 Succession and change in registration of broker-dealer or investment adviser
§ 409.4-408 Termination of employment or association of agent and investment adviser ..
§ 409.4-409 Withdrawal of registration of broker-dealer, agent, investment adviser, and ..
§ 409.4-410 Filing fees
§ 409.4-411 Postregistration requirements
§ 409.4-412 Denial, revocation, suspension, withdrawal, restriction, condition, or ..
§ 409.5-501 General fraud
§ 409.5-502 Prohibited conduct in providing investment advice
§ 409.5-503 Evidentiary burden
§ 409.5-504 Filing of sales and advertising literature
§ 409.5-505 Misleading filings
§ 409.5-506 Misrepresentations concerning registration or exemption
§ 409.5-507 Qualified immunity
§ 409.5-508 Criminal penalties
§ 409.5-509 Civil liability
§ 409.5-510 Rescission offers
§ 409.6-601 Administration
§ 409.6-602 Investigations and subpoenas
§ 409.6-603 Civil enforcement
§ 409.6-604 Administrative enforcement
§ 409.6-605 Rules, forms, orders, interpretive opinions, and hearings
§ 409.6-606 Administrative files and opinions
§ 409.6-607 Public records; confidentiality
§ 409.6-608 Uniformity and cooperation with other agencies
§ 409.6-609 Judicial review
§ 409.6-610 Jurisdiction
§ 409.6-611 Service of process
§ 409.6-612 Severability clause
§ 409.7-701 Effective date
§ 409.7-702 Repeals
§ 409.7-703 Application of act to existing proceedings and existing rights and duties

Terms Used In Missouri Laws > Chapter 409 - Regulation of Securities

  • Affidavit: A written statement of facts confirmed by the oath of the party making it, before a notary or officer having authority to administer oaths.
  • Amendment: A proposal to alter the text of a pending bill or other measure by striking out some of it, by inserting new language, or both. Before an amendment becomes part of the measure, thelegislature must agree to it.
  • Annuity: A periodic (usually annual) payment of a fixed sum of money for either the life of the recipient or for a fixed number of years. A series of payments under a contract from an insurance company, a trust company, or an individual. Annuity payments are made at regular intervals over a period of more than one full year.
  • Appropriation: The provision of funds, through an annual appropriations act or a permanent law, for federal agencies to make payments out of the Treasury for specified purposes. The formal federal spending process consists of two sequential steps: authorization
  • Assets: (1) The property comprising the estate of a deceased person, or (2) the property in a trust account.
  • Attachment: A procedure by which a person's property is seized to pay judgments levied by the court.
  • Bankruptcy: Refers to statutes and judicial proceedings involving persons or businesses that cannot pay their debts and seek the assistance of the court in getting a fresh start. Under the protection of the bankruptcy court, debtors may discharge their debts, perhaps by paying a portion of each debt. Bankruptcy judges preside over these proceedings.
  • Beneficiary: A person who is entitled to receive the benefits or proceeds of a will, trust, insurance policy, retirement plan, annuity, or other contract. Source: OCC
  • Common law: The legal system that originated in England and is now in use in the United States. It is based on judicial decisions rather than legislative action.
  • Complaint: A written statement by the plaintiff stating the wrongs allegedly committed by the defendant.
  • Contract: A legal written agreement that becomes binding when signed.
  • Conviction: A judgement of guilt against a criminal defendant.
  • Corporation: A legal entity owned by the holders of shares of stock that have been issued, and that can own, receive, and transfer property, and carry on business in its own name.
  • Damages: Money paid by defendants to successful plaintiffs in civil cases to compensate the plaintiffs for their injuries.
  • Defendant: In a civil suit, the person complained against; in a criminal case, the person accused of the crime.
  • Dependent: A person dependent for support upon another.
  • Discovery: Lawyers' examination, before trial, of facts and documents in possession of the opponents to help the lawyers prepare for trial.
  • Equitable: Pertaining to civil suits in "equity" rather than in "law." In English legal history, the courts of "law" could order the payment of damages and could afford no other remedy. See damages. A separate court of "equity" could order someone to do something or to cease to do something. See, e.g., injunction. In American jurisprudence, the federal courts have both legal and equitable power, but the distinction is still an important one. For example, a trial by jury is normally available in "law" cases but not in "equity" cases. Source: U.S. Courts
  • Escrow: Money given to a third party to be held for payment until certain conditions are met.
  • Evidence: Information presented in testimony or in documents that is used to persuade the fact finder (judge or jury) to decide the case for one side or the other.
  • Fair market value: The price at which an asset would change hands in a transaction between a willing, informed buyer and a willing, informed seller.
  • Federal Reserve System: The central bank of the United States. The Fed, as it is commonly called, regulates the U.S. monetary and financial system. The Federal Reserve System is composed of a central governmental agency in Washington, D.C. (the Board of Governors) and twelve regional Federal Reserve Banks in major cities throughout the United States. Source: OCC
  • Fiduciary: A trustee, executor, or administrator.
  • Fiscal year: The fiscal year is the accounting period for the government. For the federal government, this begins on October 1 and ends on September 30. The fiscal year is designated by the calendar year in which it ends; for example, fiscal year 2006 begins on October 1, 2005 and ends on September 30, 2006.
  • following: when used by way of reference to any section of the statutes, mean the section next preceding or next following that in which the reference is made, unless some other section is expressly designated in the reference. See Missouri Laws 1.020
  • Fraud: Intentional deception resulting in injury to another.
  • Gift: A voluntary transfer or conveyance of property without consideration, or for less than full and adequate consideration based on fair market value.
  • Grand jury: agreement providing that a lender will delay exercising its rights (in the case of a mortgage,
  • Guarantor: A party who agrees to be responsible for the payment of another party's debts should that party default. Source: OCC
  • Indictment: The formal charge issued by a grand jury stating that there is enough evidence that the defendant committed the crime to justify having a trial; it is used primarily for felonies.
  • Injunction: An order of the court prohibiting (or compelling) the performance of a specific act to prevent irreparable damage or injury.
  • Jurisdiction: (1) The legal authority of a court to hear and decide a case. Concurrent jurisdiction exists when two courts have simultaneous responsibility for the same case. (2) The geographic area over which the court has authority to decide cases.
  • Lease: A contract transferring the use of property or occupancy of land, space, structures, or equipment in consideration of a payment (e.g., rent). Source: OCC
  • Liabilities: The aggregate of all debts and other legal obligations of a particular person or legal entity.
  • Litigation: A case, controversy, or lawsuit. Participants (plaintiffs and defendants) in lawsuits are called litigants.
  • Mortgage: The written agreement pledging property to a creditor as collateral for a loan.
  • Nolo contendere: No contest-has the same effect as a plea of guilty, as far as the criminal sentence is concerned, but may not be considered as an admission of guilt for any other purpose.
  • Oath: A promise to tell the truth.
  • Obligation: An order placed, contract awarded, service received, or similar transaction during a given period that will require payments during the same or a future period.
  • Partnership: A voluntary contract between two or more persons to pool some or all of their assets into a business, with the agreement that there will be a proportional sharing of profits and losses.
  • person: may extend and be applied to bodies politic and corporate, and to partnerships and other unincorporated associations. See Missouri Laws 1.020
  • Place of residence: means the place where the family of any person permanently resides in this state, and the place where any person having no family generally lodges. See Missouri Laws 1.020
  • Plaintiff: The person who files the complaint in a civil lawsuit.
  • Power of attorney: A written instrument which authorizes one person to act as another's agent or attorney. The power of attorney may be for a definite, specific act, or it may be general in nature. The terms of the written power of attorney may specify when it will expire. If not, the power of attorney usually expires when the person granting it dies. Source: OCC
  • Property: includes real and personal property. See Missouri Laws 1.020
  • Prosecute: To charge someone with a crime. A prosecutor tries a criminal case on behalf of the government.
  • Public law: A public bill or joint resolution that has passed both chambers and been enacted into law. Public laws have general applicability nationwide.
  • Real property: Land, and all immovable fixtures erected on, growing on, or affixed to the land.
  • Rescission: The cancellation of budget authority previously provided by Congress. The Impoundment Control Act of 1974 specifies that the President may propose to Congress that funds be rescinded. If both Houses have not approved a rescission proposal (by passing legislation) within 45 days of continuous session, any funds being withheld must be made available for obligation.
  • Restitution: The court-ordered payment of money by the defendant to the victim for damages caused by the criminal action.
  • Service of process: The service of writs or summonses to the appropriate party.
  • Settlement: Parties to a lawsuit resolve their difference without having a trial. Settlements often involve the payment of compensation by one party in satisfaction of the other party's claims.
  • State: when applied to any of the United States, includes the District of Columbia and the territories, and the words "United States" includes such district and territories. See Missouri Laws 1.020
  • Statute: A law passed by a legislature.
  • Subpoena: A command to a witness to appear and give testimony.
  • Temporary restraining order: Prohibits a person from an action that is likely to cause irreparable harm. This differs from an injunction in that it may be granted immediately, without notice to the opposing party, and without a hearing. It is intended to last only until a hearing can be held.
  • Testify: Answer questions in court.
  • Testimony: Evidence presented orally by witnesses during trials or before grand juries.
  • Trustee: A person or institution holding and administering property in trust.
  • United States: includes such district and territories. See Missouri Laws 1.020
  • Writ: A formal written command, issued from the court, requiring the performance of a specific act.