Missouri · Regulations
Chapter 51 — Broker-Dealers, Agents, Investment
26 sections
26 sections
- 15 CSR 30-51.010General Instructions
- 15 CSR 30-51.020Applications for Registration or Notice Filings
- 15 CSR 30-51.030Examination Requirement
- 15 CSR 30-51.040Financial Statements
- 15 CSR 30-51.050Net Capital Requirements for BrokerDealers
- 15 CSR 30-51.060Broker-Dealer Notice of Net Capital Deficiency
- 15 CSR 30-51.070Minimum Net Worth Requirements for Investment Advisers
- 15 CSR 30-51.075Trusted Contact Requirements for Investment Advisers
- 15 CSR 30-51.080Bonds (Rescinded February 12, 1987)Rescinded
- 15 CSR 30-51.090Segregation of Accounts by Broker-Dealers
- 15 CSR 30-51.100Custody of Securities or Funds by Investment Advisers
- 15 CSR 30-51.110Confirmations
- 15 CSR 30-51.120Records Required of Broker-Dealers
- 15 CSR 30-51.130Records To Be Preserved by Broker-Dealers (Rescinded January 30, 2020)Rescinded
- 15 CSR 30-51.140Records Required of and To Be Preserved by Investment Advisers
- 15 CSR 30-51.145Compensation Arrangements Involving Investment Advisers
- 15 CSR 30-51.150Records to be Preserved by Investment Advisers (Rescinded February 29, 2004)Rescinded
- 15 CSR 30-51.165Networking Arrangements Between Broker-Dealers and Banks, Trust Companies or Savings Institutions
- 15 CSR 30-51.169Fraudulent Practices of Broker-Dealers and Agents
- 15 CSR 30-51.170Dishonest or Unethical Business Practices by Broker-Dealers and Agents
- 15 CSR 30-51.171Supervision Guidelines for Broker-Dealers
- 15 CSR 30-51.172Dishonest or Unethical Business Practices by Investment Advisers and Investment Adviser Representatives
- 15 CSR 30-51.173Supervision Guidelines for Investment Advisers
- 15 CSR 30-51.174Fraudulent Practices of Investment Advisers and Investment Adviser Representatives
- 15 CSR 30-51.175Exclusion From Definition of Broker-Dealer
- 15 CSR 30-51.180Exemptions from Registration for BrokerDealers, Agents, Investment Advisers, and Investment