Securities Advisory Releases

• Advisory Release AR-12-06
  Commissioner of Securities Issues Report on the Investment Adviser Registration "Switch"

• Advisory Release AR-12-05
  Commissioner of Securities Issues No-Action Determination Concerning Pending Investment Adviser Registration Applications After the Dodd-Frank Act “Switch” Deadline

• Advisory Release AR-12-04
  Commissioner of Securities Issues No-Action Determination Contemplating Recent Rulemaking Concerning Missouri Private Fund Advisers

• Advisory Release AR-12-03
  Commissioner’s Proposed Amendment to Missouri’s Private Fund Adviser Exemption

• Advisory Release AR-12-02
  Passage of the CROWDFUND Act of 2012: Next Steps

• Advisory Release AR-12-01
  Timeline for Switching Advisers

• Advisory Release AR-11-07
  NASAA’s Coordinated Review Program Available for Switching Missouri Investment Advisers

• Advisory Release AR-11-06
  Crowdfunding and State Securities Regulators

• Advisory Release AR-11-05
  Private Offerings May Not Be Publically Promoted or Solicited; Missouri Courts Interpret “Offer” Broadly

• Advisory Release AR-11-04
  Commissioner of Securities Issues No-Action Determination to Missouri Investment Adviser Previously Exempt under Investment Advisers Act of 1940 Section 203(b)(3) and MO 15 CSR 30-51.180(6)

• Advisory Release AR-11-03
  SEC Rules and Schedules Finalized for Mid-Sized Investment Advisers Switching to State Registration

• Advisory Release AR-11-02
  Possible Delays in Investment Adviser Transition to State Registration

• Advisory Release AR-11-01
  Amended Rules Pertaining to Investment Advisers and their Management

• Advisory Release AR-10-01
  Current Exam Requirements for Issuer-Agents

• Advisory Release AR-09-01
  Filing Documents with the Commissioner of Securities