Links to Rules
- Key Citations for Investment Advisers in Chapter 50
- Definition of "Chief Compliance Officer": 15 CSR 30-50.010(G)
- Registration Fees: 15 CSR 30-50.030
- Key Citations for Investment Advisers in Chapter 51
- Applying for Registration: 15 CSR 30-51.020
- Examination Requirements: 15 CSR 30-51.030
- Net Worth Requirement for Investment Advisers: 15 CSR 30-51.070
- Investment Adviser Custody: 15 CSR 30-51.100
- Books and Records Requirements for Investment Advisers: 15 CSR 30-51.140
- Solicitors: 15 CSR 30-51.180(5) AND 15 CSR 30-51.145(1)
- Performance-based Fees: 15 CSR 30-51.145(2)
- Continuing Duty to Disclose Material Information: 15 CSR 30-51.160(3)(A)
- Written Disclosure Document (ADV Part 2): 15 CSR 30-51.160(3)(D)
- Advertising Past Performance: 15 CSR 30-51.140(1)(N) and 15 CSR 30-51.172(1)(S)
- Dishonest or Unethical Practices: 15 CSR 30-51.172
- 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
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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.