Securities Advisory Releases

• Advisory Release AR-11-07
  NASAA’s Coordinated Review Program Available for Switching Missouri Investment Advisers

• Advisory Release AR-11-06
  Crowdfunding and State Securities Regulators

• Advisory Release AR-11-05
  Private Offerings May Not Be Publically Promoted or Solicited; Missouri Courts Interpret “Offer” Broadly

• Advisory Release AR-11-04
  Commissioner of Securities Issues No-Action Determination to Missouri Investment Adviser Previously Exempt under Investment Advisers Act of 1940 Section 203(b)(3) and MO 15 CSR 30-51.180(6)

• Advisory Release AR-11-03
  SEC Rules and Schedules Finalized for Mid-Sized Investment Advisers Switching to State Registration

• Advisory Release AR-11-02
  Possible Delays in Investment Adviser Transition to State Registration

• Advisory Release AR-11-01
  Amended Rules Pertaining to Investment Advisers and their Management

• Advisory Release AR-10-01
  Current Exam Requirements for Issuer-Agents

• Advisory Release AR-09-01
  Filing Documents with the Commissioner of Securities

• Advisory Release AR-08-04
  New Rules Pertaining to Senior-Specific Designations by Brokers and Investment Advisers in the Securities Industry

• Advisory Release AR-08-03
  Statement of Policy Regarding Electronic Filing of Forms D in Missouri

• Advisory Release AR-08-02
  Statement of Policy Regarding No-Action Determinations and Interpretative Opinions

• Advisory Release AR-08-01
  Securities Laws Implications for Transactions Featuring Promissory Notes and Real Estate

• Advisory Release AR-07-04
  Banks, Trust Companies Organized Under the Laws of Missouri, and Savings Institutions to Comply with Section 409.1-102(4), RSMo. (Cum. Supp. 2006).

• Advisory Release AR-07-03
  Registration Exemption for Investment Advisers Who Advise Certain Clients