Resources

IA Checklist

Missouri Investment Adviser Application Checklist

Missouri Securities Division Audit Unit Information

IA Switch Pre-Registration Exam Report

IA Switch Final Report

Presentation on IA Switch Issues

No Action Letter

No-Action Determination Concerning Private Fund Advisers

IA Switch Letter to IA Firms

December 2011 Letter to Switching Investment Advisers

Pension Administrators No-Action Letter

No-Action Determination on Pending Application at Switch Deadline


Links to Rules

  1. Key Citations for Investment Advisers in Chapter 50
    1. Definition of "Chief Compliance Officer": 15 CSR 30-50.010(G)
    2. Registration Fees: 15 CSR 30-50.030

  1. Key Citations for Investment Advisers in Chapter 51
    1. Applying for Registration: 15 CSR 30-51.020
    2. Examination Requirements: 15 CSR 30-51.030
    3. Net Worth Requirement for Investment Advisers: 15 CSR 30-51.070
    4. Investment Adviser Custody: 15 CSR 30-51.100
    5. Books and Records Requirements for Investment Advisers: 15 CSR 30-51.140
    6. Solicitors: 15 CSR 30-51.180(5) AND 15 CSR 30-51.145(1)
    7. Performance-based Fees: 15 CSR 30-51.145(2)
    8. Continuing Duty to Disclose Material Information: 15 CSR 30-51.160(3)(A)
    9. Written Disclosure Document (ADV Part 2): 15 CSR 30-51.160(3)(D)
    10. Advertising Past Performance: 15 CSR 30-51.140(1)(N) and 15 CSR 30-51.172(1)(S)
    11. Dishonest or Unethical Practices: 15 CSR 30-51.172
    12. Supervision Guidelines: 15 CSR 30-51.173





 

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  • September 6, 2012
    The Commissioner of Securities has issued an Advisory Release alerting Missouri's investment advisers and others to a recent report on the Investment Adviser Registration "Switch." Read the release here, and the Report here.

  • July 3, 2012
    The Commissioner of Securities has issued an Advisory Release concerning pending investment adviser registration applications after the Dodd-Frank Act "Switch" deadline. Read the release here.

  • May 17, 2012
    The Commissioner of Securities has issued an Advisory Release concerning a no-action letter and the April 26 rulemaking concerning Missouri Private Fund Advisers. Read the release here.

  • April 26, 2012
    The Commissioner of Securities has issued an advisory release concerning a rulemaking related to an exemption from registration for certain advisers to private funds. Read the release here.

  • March 23, 2012
    The Commissioner of Securities has issued an advisory release on the fast-approaching deadlines and best registration practices for investment advisers switching to state registration. Read the release here.

  • December 30, 2011
    The Commissioner of Securities sent a letter to Missouri Investment Advisers who may switch to state regulation in 2012 under the Dodd-Frank Act. Read the letter here .

  • December 15, 2011
    Advisory Release AR-11-07
    The Commissioner of Securities issued an advisory release summarizing NASAA’s coordinated review program for investment advisers switching to state regulation in 4-14 states. Read the release here.

  • July 20, 2011
    Advisory Release AR-11-04
    The Commissioner of Securities for the State of Missouri issued an advisory release summarizing a No-Action Determination issued in response to a request by an adviser to a private fund. Read the release here.


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