Manual Exemption

PURPOSE: This rule prescribes recognized securities manuals and policies applicable to nonissuer distributions of securities of issuers reported in the manuals. (1) For the purpose of the manual exemption (section 409.2202(2)(D) of the Missouri Securities Act of 2003 (the Act)), “nationally recognized securities manual or its electronic equivalent” shall mean: Fitch Investors Service, Mergent’s Investor Service, and OTC Markets Group Inc. with respect to securities included on the OTCQX or OTCQB markets. (2) The exemption specified in section 409.2-202(2)(D) of the Act shall be available only when a recognized manual has contained the required information for a period of not less than ninety (90) days prior to the transaction. AUTHORITY: sections 409.2-202(2)(D) and 409.6-605, RSMo 2016.* 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 Jan. 14, 1987, effective June 11, 1987. Amended: Filed March 27, 1989, effective June 12, 1989. Emergency amendment filed Aug. 19, 2003, effective Sept. 12, 2003, expired March 9, 2004. Amended: Filed Aug. 27, 2003, effective Feb. 29, 2004. Amended: Filed April 12, 2018, effective Sept. 30, 2018. *Original authority: 409.2-202, RSMo 2003, 2005; 409.6-605, RSMo 2003.