- Missouri Investor Protection Center
- Investor Education
- Check Out Your Broker or Adviser
- File a Complaint
- Statutes and Regulations
- Investor Protection & Securities Newsletter
- Contact Us
The registration section reviews applications to register securities under a "merit review." This review determines if the offering is "fair, just and equitable." The staff also reviews claims of exemption from registration.
For more information, see the answers to frequently asked questions regarding securities registration.
Uniform forms from NASAA's web site
Federal forms from the SEC's web site
NASAA Statements of Policy
Statements of Policy adopted by the North American Securities Administrators Association, Inc. (NASAA) can be obtained from NASAA's web site. Please see Missouri regulations 15 CSR Division 30, Chapter 52 and 15 CSR Division 30, Chapter 54 to view the NASAA Statements of Policy adopted by the Missouri Securities Division.
Small Company Offering Registrations (SCOR)
Documents from NASAA's web site
Coordinated Review Programs
The Missouri Securities Division participates in the following coordinated review programs: CR-SCOR/Midwest Regional Review Program; Coordinated Review of Equity; and Coordinated Review of Direct Participation Programs. For further information, please see http://www.coordinatedreview.org/