Proposed Rules
Proposed Rule
Rule Summary
Fiscal Note
*Missouri Register

This amendment amends the rule to be in compliance with a federal court order.

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This amendment amends the rule to be in compliance with a federal court order

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15 CSR 30-51.172 Dishonest or Unethical Business Practices by Investment Advisers and Investment Adviser Representatives

This amendment amends the rule to be in compliance with a federal court order.

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15 CSR 30-51.174 Fraudulent Practices of Investment Advisers and Investment Adviser Representatives

This rule identifies practices in the investment adviser industry that are generally associated with acts that deceive and defraud.

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 *These rules may vary slightly from those on the Missouri Secretary of State’s Administrative Rules website as Administrative Rules may make grammar, spelling, date and citation changes. The rules on the Administrative Rule’s website shall take precedent over the rules posted here.