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Chapter 409 Regulation of Securities

• 409.101. (Repealed L. 2003 H.B. 380 § A)
• 409.102. (Repealed L. 2003 H.B. 380 § A)
• 409.107. Investment firms, legal firms, other persons shall not be involved with issuance of bonds, when.
• 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.
• 409.201. (Repealed L. 2003 H.B. 380 § A)
• 409.202. (Repealed L. 2003 H.B. 380 § A)
• 409.203. (Repealed L. 2003 H.B. 380 § A)
• 409.204. (Repealed L. 2003 H.B. 380 § A)
• 409.301. (Repealed L. 2003 H.B. 380 § A)
• 409.302. (Repealed L. 2003 H.B. 380 § A)
• 409.303. (Repealed L. 2003 H.B. 380 § A)
• 409.304. (Repealed L. 2003 H.B. 380 § A)
• 409.305. (Repealed L. 2003 H.B. 380 § A)
• 409.306. (Repealed L. 2003 H.B. 380 § A)
• 409.307. (Repealed L. 2003 H.B. 380 § A)
• 409.401. (Repealed L. 2003 H.B. 380 § A)
• 409.402. (Repealed L. 2003 H.B. 380 § A)
• 409.403. (Repealed L. 2003 H.B. 380 § A)
• 409.404. (Repealed L. 2003 H.B. 380 § A)
• 409.405. (Repealed L. 2003 H.B. 380 § A)
• 409.406. (Repealed L. 2003 H.B. 380 § A)
• 409.407. (Repealed L. 2003 H.B. 380 § A)
• 409.408. (Repealed L. 2003 H.B. 380 § A)
• 409.409. (Repealed L. 2003 H.B. 380 § A)
• 409.410. (Repealed L. 2003 H.B. 380 § A)
• 409.411. (Repealed L. 2003 H.B. 380 § A)
• 409.412. (Repealed L. 2003 H.B. 380 § A)
• 409.413. (Repealed L. 2003 H.B. 380 § A)
• 409.414. (Repealed L. 2003 H.B. 380 § A)
• 409.415. (Repealed L. 2003 H.B. 380 § A)
• 409.416. (Repealed L. 2003 H.B. 380 § A)
• 409.418. (Repealed L. 2003 H.B. 380 § A)
• 409.420. (Repealed L. 2003 H.B. 380 § A)
• 409.421. (Repealed L. 2003 H.B. 380 § A)
• 409.500. Short title.
• 409.506. Definitions.
• 409.511. Requirements, offeror must send registration statement--solicitations, recommendations, file with commissioner.
• 409.516. Registration statement, contents--material changes, notice to commissioner, how.
• 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, effective when.
• 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.
• 409.800. 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--where deemed made.
• 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 representatives--restrictions--exceptions.
• 409.858. Annual report, records--amendment, broker--dealers--capital requirements--fidelity bonds--financial reports.
• 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 multinational development banks authorized.
• 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 adviser representative.
• 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 representative and transfer of employment or association.
• 409.4-409. Withdrawal of registration of broker-dealer, agent, investment adviser, and investment adviser representative.
• 409.4-410. Filing fees.
• 409.4-411. Postregistration requirements.
• 409.4-412. Denial, revocation, suspension, withdrawal, restriction, condition, or limitation of registration.
• 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.