General Instructions

PURPOSE: This rule prescribes general matters within the commissioner’s jurisdiction. (1) Office Hours. The Securities Division shall be open for transaction of business between the hours of 7:30 a.m. and 5:00 p.m. on Monday through Friday, public holidays excepted. (2) Filing Documents with the Securities Division. (A) A document is filed when it is received in the office of the commissioner, or filed through the Central Registration Depository (CRD) System, the Investment Adviser Registration Depository (IARD) System, or other electronic system approved by the commissioner. All applications for registration and filings shall be dated and bear a signature. (B) All written communications, including applications and inquiries not submitted through the CRD System or the IARD System, shall be delivered by mail or carrier to Secretary of State, Securities Division, 600 W. Main Street, PO Box 1276, Jefferson City, MO 65102; or by facsimile to Secretary of State, Securities Division, (573) 526-3124; or by electronic mail to an address approved by the commissioner (section 409.6-606(a), RSMo). (C) Only the original executed copy of each form is required. If a document pertains to more than one (1) subject or application, a separate form, including cover or transmittal letter, or two (2) or more copies of the letter commensurate with the number of items submitted, should be filed. (D) All forms and documents shall be printed, photocopied, typewritten, in electronic format, or prepared by a similar process which, in the opinion of the commissioner, produces copies suitable for a permanent record. All forms and documents shall be clear, easily readable and suitable for repeated photocopying. Exhibits may be attached and shall be properly marked and identified. (E) All applications and other documents received and filed in the division become a part of its permanent records and may not be returned to the applicant or correspondent. (3) Practice of Law. The unauthorized practice of law or the appearance of unauthorized practice shall be avoided in connection with any filing under the Act. (4) Delegation of Authority. The commissioner may delegate to the staff of the Securities Division the authority to act for the commissioner, or to perform necessary functions and duties to carry out the purposes of the Act, rules promulgated thereunder and the orders and policies of the commissioner (section 1.060, RSMo). (5) Interpretive Opinions. Interpretive opinions (section 409.6605(d), RSMo) including no action letters are rendered only in writing. Informal discussions with the commissioner or members of the staff of the Securities Division shall not be taken to signify any determination or approval concerning the matters discussed. (6) Exceptions. When authorized by statute, the commissioner may authorize or make exceptions to these rules as are necessary to carry out the provisions of the Act. Nothing in these rules shall inhibit the exercise by the commissioner of authority prescribed in or under the Act. (7) Open Records Policy. The commissioner shall issue an open records policy in compliance with Chapter 610, RSMo, and consistent with section 409.6-607, RSMo. AUTHORITY: sections 409.6-605, 409.6-606 and 409.6-607, RSMo Supp. 2003.* Original rule filed June 25, 1968, effective Aug. 1, 1968. Amended: Filed May 21, 1969, effective Aug. 1, 1969. Amended: Filed July 21, 1972, effective Aug. 1, 1972. Amended: Filed Nov. 15, 1974, effective Nov. 25, 1974. Emergency amendment filed Aug. 1, 1980, effective Aug. 13, 1980, expired Dec. 11, 1980. Amended: Filed Aug. 13, 1980, effective Dec. 11, 1980. Amended: Filed Aug. 1, 1984, effective Nov. 11, 1984. Emergency amendment filed Jan. 3, 1985, effective Jan. 13, 1985, expired May 13, 1985. Amended: Filed Jan. 3, 1985, effective May 11, 1985. Amended: Filed Dec. 20, 1988, effective Sept. 28, 1989. Amended: Filed June 8, 1992, effective Feb. 26, 1993. Amended: Filed Feb. 2, 1996, effective July 30, 1996. Rescinded and readopted: Filed Dec. 17, 2001, effective July 30, 2002. Emergency amendment filed Aug. 19, 2003, effective Sept. 12, 2003, expired March 9, 2004. Amended: Filed Aug. 22, 2003, effective Feb. 29, 2004. *Original authority: 409.6-605, RSMo 2003; 409.6-606, RSMo 2003; and 409.6-607, RSMo 2003.