Missouri · Regulations
Chapter 59 — Registration and Operations of
20 sections
20 sections
- 15 CSR 30-59.010Definitions
- 15 CSR 30-59.020General Instructions
- 15 CSR 30-59.030Fees
- 15 CSR 30-59.040Forms
- 15 CSR 30-59.050Broker-Dealer, Sales Representative Statutory Bond (Rescinded August 30, 2003)Rescinded
- 15 CSR 30-59.060Application for Renewal Registration as Sales Representative (Rescinded August 30, 2003)Rescinded
- 15 CSR 30-59.070Application for Registration
- 15 CSR 30-59.080Examination
- 15 CSR 30-59.090Financial Statements
- 15 CSR 30-59.100Net Capital Requirements for Broker-Dealers
- 15 CSR 30-59.110Broker-Dealer Notice of Net Capital Deficiency
- 15 CSR 30-59.120Bonds
- 15 CSR 30-59.130Segregation of Accounts by Broker-Dealers
- 15 CSR 30-59.140Confirmations
- 15 CSR 30-59.150Records Required of Broker-Dealers and Sales Representatives
- 15 CSR 30-59.160Records to be Preserved by Broker-Dealers
- 15 CSR 30-59.170Effectiveness and PostEffective Requirements
- 15 CSR 30-59.180Denial, Revocation and Suspension of Registration
- 15 CSR 30-59.190Disclosure Statements
- 15 CSR 30-59.200Promotional Materials to be Filed, Permitted Without Filing and Prohibited