Stock Exchange Listed Securities

PURPOSE: This rule prescribes policies applicable to the exemption on approved stock exchanges of securities listed or approved for listing upon notice of issuance. (1) Stock exchanges specified by or approved under section 409.2-201(6) of the Missouri Securities Act of 2003 are as follows: (A) The Chicago Stock Exchange; (B) The Chicago Board Options Exchange; (C) Tier I or II of the Pacific Stock Exchange; and (D) Tier I of the Philadelphia Stock Exchange, Inc. AUTHORITY: sections 409.2-201(6) and 409.6-605, RSMo Supp. 2005.* 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 March 21, 1974, effective April 1, 1974. Amended: Filed Nov. 15, 1974, effective Nov. 25, 1974. Amended: Filed Sept. 25, 1991, effective Feb. 6, 1992. Amended: Filed Dec. 1, 1994, effective June 30, 1995. Amended: Filed Feb. 18, 2003, effective Aug. 30, 2003. Emergency amendment filed Aug. 26, 2003, effective Sept. 12, 2003, expired March 9, 2004. Amended: Filed Aug. 26, 2003, effective Feb. 29, 2004. Amended: Filed July 26, 2006, effective Jan. 30, 2007. *Original authority: 409.2-202, RSMo 2003; 409.6-605, RSMo 2003.