Administrative Orders
To obtain an official copy of any order contact the securities division at (573) 751-4136 or email the division.
Administrative Orders
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Security Orders Listed by Defendant, Summary Description, and Case Number
| Matter |
Summary Description |
Case No. |
Date Signed |
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Order Rescinding AO-99-41 (Order Waiving Examination Requirements for Certain Investment Advisers) |
AO-99-41 |
1/02/2025
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Order Waiving Examination Requirements for Certain Broker-Dealer Agents |
AO-18-01 |
11/06/2018
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| Credit Suisse First Boston LLC, f/k/a Credit Suisse First Boston Corporation |
Order of Payment From the Investor Restitution Fund |
AO-03-17 |
08/25/2008 |
| Morgan Stanley & Co. Incorporated |
Order of Payment From the Investor Restitution Fund |
AO-03-19 |
08/25/2008 |
| Goldman, Sachs & Co. |
Order of Payment From the Investor Restitution Fund |
AO-03-15 |
08/25/2008 |
| UBS Warburg LLC and UBS PaineWebber Inc. |
Order of Payment From the Investor Restitution Fund |
AO-03-20 |
08/25/2008 |
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Order Waiving Examination Requirements for Certain Investment Advisers |
AO-99-41 |
12/28/1999 |