Effective - 28 Aug 1986
409.526. Penalties. — 1. Every person who willfully violates any provision of sections 409.500 to 409.566 shall be guilty of a class A misdemeanor.
2. Every person who violates any provision of sections 409.500 to 409.566 shall be subject to a civil penalty of one thousand dollars per violation if a natural person or ten thousand dollars per violation if a corporation. When the violation is the failure to file a registration statement as required by subsection 1 of section 409.511 the failure to file a solicitation or recommendation as required by subsection 3 of section 409.511 or the failure to amend such registration statement as required by subsection 2 of section 409.516 each business day of nonregistration or failure to file a recommendation or solicitation or failure to amend constitutes a separate violation. The penalty imposed by this section shall be cumulative and more than one penalty shall be recoverable in the same action in any court of competent jurisdiction.
--------
(L. 1986 H.B. 1667)
Structure Missouri Revised Statutes
Title XXVI - Trade and Commerce
Chapter 409 - Regulation of Securities
Section 409.108 - Tampering with securities documents or impeding investigations prohibited.
Section 409.111 - Commissioner of securities may investigate violations.
Section 409.112 - Commissioner of securities may seek relief for violations, when.
Section 409.113 - Commissioner of securities may issue orders, when.
Section 409.114 - Duties and powers of commissioner of securities.
Section 409.500 - Short title.
Section 409.506 - Definitions.
Section 409.516 - Registration statement, contents — material changes, notice to commissioner, how.
Section 409.521 - Commissioner may make investigations, seek injunctions, when.
Section 409.531 - Commissioner may promulgate rules, establish fees.
Section 409.536 - Attorney general may prosecute, how.
Section 409.546 - Fraudulent practices not allowed, solicitation of offerees.
Section 409.556 - Construction of statutes.
Section 409.561 - Additional requirements, when applicable.
Section 409.566 - Unlawful practices, offeree may bring suit, damages, attorney fees.
Section 409.600 - Citation of law.
Section 409.605 - Definitions.
Section 409.610 - Financial exploitation, notification of agencies and family members.
Section 409.615 - Refusal of request for disbursement or transaction, when — expiration.
Section 409.620 - Immunity from liability, when.
Section 409.625 - Records, provided to agencies or law enforcement, when.
Section 409.630 - Website for training resources to prevent and detect financial exploitation.
Section 409.800 - Definitions.
Section 409.803 - Prohibited contracts — exemptions.
Section 409.806 - Exempt transaction — rules, generally, this chapter, procedure.
Section 409.808 - Commodity merchants — license required, boards of trade — designation required.
Section 409.810 - Prohibited acts.
Section 409.813 - Principals, agents, joint and several liability — when.
Section 409.816 - Applicability of other laws.
Section 409.818 - Intent of law.
Section 409.820 - Investigations by commissioner, subpoena powers — judicial enforcement.
Section 409.823 - Violations — powers of commissioner.
Section 409.826 - Violations of domestic or foreign laws, rules — legal and equitable remedies.
Section 409.830 - Insiders — restricted use of information, data to be public, exceptions.
Section 409.833 - Cooperation with other jurisdictions, agencies.
Section 409.836 - General authority of commissioner.
Section 409.838 - Service of process, appointment of commissioner as agent for service.
Section 409.843 - Administrative procedure, notice of intent, summary order, notice, hearing.
Section 409.846 - Judicial review of commissioner's orders — procedure — standard of review.
Section 409.848 - Exemptions — burden of proof.
Section 409.850 - Broker-dealers, sales representatives — applications for licenses — fees.
Section 409.853 - Examinations.
Section 409.860 - Records — examination without notice — fees.
Section 409.863 - Licenses — denial, suspension, revocation, limitations, cancellation — grounds.
Section 409.1000 - Business opportunities — definitions.
Section 409.1003 - Practices prohibited — penalty.
Section 409.1006 - Civil remedies.
Section 409.1-101 - Short title.
Section 409.1-102 - Definitions.
Section 409.1-103 - References to federal statutes.
Section 409.1-104 - References to federal agencies.
Section 409.1-105 - Electronic records and signatures.
Section 409.2-201 - Exempt securities.
Section 409.2-202 - Exempt transactions.
Section 409.2-203 - Additional exemptions and waivers.
Section 409.2-204 - Denial, suspension, revocation, condition, or limitation of exemptions.
Section 409.3-301 - Securities registration requirement.
Section 409.3-302 - Notice filing.
Section 409.3-303 - Securities registration by coordination.
Section 409.3-304 - Securities registration by qualification.
Section 409.3-305 - Securities registration filings.
Section 409.3-306 - Denial, suspension, and revocation of securities registration.
Section 409.3-307 - Waiver and modification.
Section 409.4-401 - Broker-dealer registration requirement and exemptions.
Section 409.4-402 - Agent registration requirement and exemptions.
Section 409.4-403 - Investment adviser registration requirement and exemptions.
Section 409.4-404 - Investment adviser representative registration requirement and exemptions.
Section 409.4-405 - Federal covered investment adviser notice filing requirement.
Section 409.4-407 - Succession and change in registration of broker-dealer or investment adviser.
Section 409.4-410 - Filing fees.
Section 409.4-411 - Postregistration requirements.
Section 409.5-501 - General fraud.
Section 409.5-502 - Prohibited conduct in providing investment advice.
Section 409.5-503 - Evidentiary burden.
Section 409.5-504 - Filing of sales and advertising literature.
Section 409.5-505 - Misleading filings.
Section 409.5-506 - Misrepresentations concerning registration or exemption.
Section 409.5-507 - Qualified immunity.
Section 409.5-508 - Criminal penalties.
Section 409.5-509 - Civil liability.
Section 409.5-510 - Rescission offers.
Section 409.6-601 - Administration.
Section 409.6-602 - Investigations and subpoenas.
Section 409.6-603 - Civil enforcement.
Section 409.6-604 - Administrative enforcement.
Section 409.6-605 - Rules, forms, orders, interpretive opinions, and hearings.
Section 409.6-606 - Administrative files and opinions.
Section 409.6-607 - Public records; confidentiality.
Section 409.6-608 - Uniformity and cooperation with other agencies.
Section 409.6-609 - Judicial review.
Section 409.6-610 - Jurisdiction.
Section 409.6-611 - Service of process.
Section 409.6-612 - Severability clause.
Section 409.7-701 - Effective date.
Section 409.7-703 - Application of act to existing proceedings and existing rights and duties.