Missouri Revised Statutes
Chapter 409 - Regulation of Securities
Section 409.6-611 - Service of process.

Effective - 01 Sep 2003
409.6-611. Service of process. — (a) A consent to service of process complying with section 409.6-611 required by this act must be signed and filed in the form required by a rule or order under this act. A consent appointing the commissioner the person's agent for service of process in a noncriminal action or proceeding against the person, or the person's successor or personal representative under this act or a rule adopted or order issued under this act after the consent is filed, has the same force and validity as if the service were made personally on the person filing the consent. A person that has filed a consent complying with this subsection in connection with a previous application for registration or notice filing need not file an additional consent.
(b) If a person, including a nonresident of this state, engages in an act, practice, or course of business prohibited or made actionable by this act or a rule adopted or order issued under this act and the person has not filed a consent to service of process under subsection (a), the act, practice, or course of business constitutes the appointment of the commissioner as the person's agent for service of process in a noncriminal action or proceeding against the person or the person's successor or personal representative.
(c) Service under subsection (a) or (b) may be made by providing a copy of the process to the office of the commissioner, but it is not effective unless:
(1) The plaintiff, which may be the commissioner, promptly sends notice of the service and a copy of the process, return receipt requested, to the defendant or respondent at the address set forth in the consent to service of process or, if a consent to service of process has not been filed, at the last known address, or takes other reasonable steps to give notice; and
(2) The plaintiff files an affidavit of compliance with this subsection in the action or proceeding on or before the return day of the process, if any, or within the time that the court, or the commissioner in a proceeding before the commissioner, allows.
(d) Service pursuant to subsection (c) may be used in a proceeding before the commissioner or by the commissioner in a civil action in which the commissioner is the moving party.
(e) If process is served under subsection (c), the court, or the commissioner in a proceeding before the commissioner, shall order continuances as are necessary or appropriate to afford the defendant or respondent reasonable opportunity to defend.
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(L. 2003 H.B. 380)
Effective 9-01-03

Structure Missouri Revised Statutes

Missouri Revised Statutes

Title XXVI - Trade and Commerce

Chapter 409 - Regulation of Securities

Section 409.107 - Investment firms, legal firms, other persons shall not be involved with issuance of bonds, when.

Section 409.108 - Tampering with securities documents or impeding investigations prohibited.

Section 409.109 - Penalty.

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 409.511 - Requirements, offeror must send registration statement — solicitations, recommendations, file with commissioner.

Section 409.516 - Registration statement, contents — material changes, notice to commissioner, how.

Section 409.521 - Commissioner may make investigations, seek injunctions, when.

Section 409.526 - Penalties.

Section 409.531 - Commissioner may promulgate rules, establish fees.

Section 409.536 - Attorney general may prosecute, how.

Section 409.541 - Secretary of state deemed offeror's agent, when — service of process, how, effective when.

Section 409.546 - Fraudulent practices not allowed, solicitation of offerees.

Section 409.551 - Exceptions.

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 409.828 - Penalties.

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 409.840 - Application of sections 409.803, 409.808, 409.810, offers to sell, buy — where deemed made.

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 409.856 - Licenses — effective date — expiration — classification, sales representatives — restrictions — exceptions.

Section 409.858 - Annual report, records — amendment, broker — dealers — capital requirements — fidelity bonds — financial reports.

Section 409.860 - Records — examination without notice — fees.

Section 409.863 - Licenses — denial, suspension, revocation, limitations, cancellation — grounds.

Section 409.950 - Fiduciaries and employee retirement systems, investment in certain multinational development banks authorized.

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 409.4-406 - Registration by broker-dealer, agent, investment adviser, and investment adviser representative.

Section 409.4-407 - Succession and change in registration of broker-dealer or investment adviser.

Section 409.4-408 - Termination of employment or association of agent and investment adviser representative and transfer of employment or association.

Section 409.4-409 - Withdrawal of registration of broker-dealer, agent, investment adviser, and investment adviser representative.

Section 409.4-410 - Filing fees.

Section 409.4-411 - Postregistration requirements.

Section 409.4-412 - Denial, revocation, suspension, withdrawal, restriction, condition, or limitation of registration.

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 409.7-702 - Repeals.

Section 409.7-703 - Application of act to existing proceedings and existing rights and duties.