Missouri Code of State Regulations
Title 15 - ELECTED OFFICIALS
Division 30 - Secretary of State
Chapter 51 - Broker-Dealers, Agents, Investment Advisers, and Investment Adviser Representatives
- Section 15 CSR 30-51.010 - General Instructions
- Section 15 CSR 30-51.020 - Applications for Registration or Notice Filings
- Section 15 CSR 30-51.030 - Examination Requirement
- Section 15 CSR 30-51.040 - Financial Statements
- Section 15 CSR 30-51.050 - Net Capital Requirements for Broker- Dealers
- Section 15 CSR 30-51.060 - Broker-Dealer Notice of Net Capital Deficiency
- Section 15 CSR 30-51.070 - Minimum Net Worth Requirements for Investment Advisers
- Section 15 CSR 30-51.075 - Trusted Contact Requirements for Investment Advisers
- Section 15 CSR 30-51.080 - Bonds
- Section 15 CSR 30-51.090 - Segregation of Accounts by Broker-Dealers
- Section 15 CSR 30-51.100 - Custody of Securities or Funds by Investment Advisers
- Section 15 CSR 30-51.110 - Confirmations
- Section 15 CSR 30-51.120 - Records Required of Broker-Dealers
- Section 15 CSR 30-51.130
- Section 15 CSR 30-51.140 - Records Required of and To Be Preserved by Investment Advisers
- Section 15 CSR 30-51.145 - Compensation Arrangements Involving Investment Advisers
- Section 15 CSR 30-51.150 - Records to be Preserved by Investment Advisers
- Section 15 CSR 30-51.160 - Effectiveness and Post-Effective Requirements
- Section 15 CSR 30-51.165 - Networking Arrangements Between Broker-Dealers and Banks, Trust Companies or Savings Institutions
- Section 15 CSR 30-51.169 - Fraudulent Practices of Broker-Dealers and Agents
- Section 15 CSR 30-51.170 - Dishonest or Unethical Business Practices by Broker-Dealers and Agents
- Section 15 CSR 30-51.171 - Supervision Guidelines for Broker-Dealers
- Section 15 CSR 30-51.172 - Dishonest or Unethical Business Practices by Investment Advisers and Investment Adviser Representatives
- Section 15 CSR 30-51.173 - Supervision Guidelines for Investment Advisers
- Section 15 CSR 30-51.175 - Exclusion From Definition of Broker-Dealer
- Section 15 CSR 30-51.180 - Exemptions from Registration for Broker-Dealers, Agents, Investment Advisers, and Investment Adviser Representatives
Disclaimer: These regulations may not be the most recent version. Missouri may have more current or accurate information. We make no warranties or guarantees about the accuracy, completeness, or adequacy of the information contained on this site or the information linked to on the state site. Please check official sources.
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