Securities Advisory Releases

Advisory Release AR-09-01:

Filing Documents with the Commissioner of Securities

The Commissioner of Securities is providing notice to and reminding interested parties of the rules concerning filing documents in the Commissioner’s office.

The Commissioner’s rules describe how parties who are litigating cases before the Commissioner can file certain documents. Those rules specify that a document—such as an answer to a petition or motion for a continuance—is not considered “filed” until it is received in the Commissioner’s office. See 15 CSR 30-50.020(2)(A). To file a document in the Commissioner’s office, you must either:

• deliver it by mail or carrier to the Secretary of State, Securities Division, 600 W. Main Street, PO Box 1276, Jefferson City, Missouri; or


• fax it to the Secretary of State, Securities Division, (573) 526-3124.

15 CSR 30-50.020(2)(B). You do not satisfy these requirements by emailing documents to the Commissioner, unless the Commissioner specifically provides you an email address for that purpose. 15 CSR 30-50.020(2)(B). Also, informal email to the Commissioner or the Securities Division or email to unapproved addresses do not satisfy the rules’ filing requirements. The Commissioner has not approved, and there does not exist, any email address for filings or submissions.

Finally, note that you must sign and date all filings however they are submitted. See 15 CSR 30-50.020(2)(A).

You can view the above rules at the following link: http://www.sos.mo.gov/adrules/csr/current/15csr/15c30-50.pdf

If you have any questions, please contact the Securities Division at (573) 751-4136.