Effective - 28 Aug 2020, 2 histories
409.610. Financial exploitation, notification of agencies and family members. — If a qualified individual reasonably believes that financial exploitation of a qualified adult has occurred, has been attempted, or is being attempted, the qualified individual may notify the agencies. Subsequent to notifying the agencies, an agent, investment adviser representative, or qualified individual may notify an immediate family member, legal guardian, conservator, co-trustee, successor trustee, or agent under a power of attorney of the qualified adult or other individual reasonably associated with the qualified adult of such belief. The agencies may provide information regarding a qualified adult to the reporting qualified individual, agent, or investment adviser representative upon request.
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(L. 2015 S.B. 244, A.L. 2020 S.B. 599)
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.