Advisory Release AR-12-06
Commissioner of Securities Issues Report on the Investment Adviser Registration "Switch"Advisory Release AR-12-05
Commissioner of Securities Issues No-Action Determination Concerning Pending Investment Adviser Registration Applications After the Dodd-Frank Act “Switch” DeadlineAdvisory Release AR-12-04
Commissioner of Securities Issues No-Action Determination Contemplating Recent Rulemaking Concerning Missouri Private Fund AdvisersAdvisory Release AR-12-03
Commissioner’s Proposed Amendment to Missouri’s Private Fund Adviser ExemptionAdvisory Release AR-12-02
Passage of the CROWDFUND Act of 2012: Next StepsAdvisory Release AR-12-01
Timeline for Switching AdvisersAdvisory Release AR-11-07
NASAA’s Coordinated Review Program Available for Switching Missouri Investment AdvisersAdvisory Release AR-11-06
Crowdfunding and State Securities RegulatorsAdvisory Release AR-11-05
Private Offerings May Not Be Publically Promoted or Solicited; Missouri Courts Interpret “Offer” BroadlyAdvisory 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 RegistrationAdvisory Release AR-11-02
Possible Delays in Investment Adviser Transition to State RegistrationAdvisory Release AR-11-01
Amended Rules Pertaining to Investment Advisers and their ManagementAdvisory Release AR-10-01
Current Exam Requirements for Issuer-AgentsAdvisory Release AR-09-01
Filing Documents with the Commissioner of Securities
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September 6, 2012
The Commissioner of Securities has issued an Advisory Release alerting Missouri's investment advisers and others to a recent report on the Investment Adviser Registration "Switch." Read the release here, and the Report here. -
July 3, 2012
The Commissioner of Securities has issued an Advisory Release concerning pending investment adviser registration applications after the Dodd-Frank Act "Switch" deadline. Read the release here. -
May 17, 2012
The Commissioner of Securities has issued an Advisory Release concerning a no-action letter and the April 26 rulemaking concerning Missouri Private Fund Advisers. Read the release here. -
April 26, 2012
The Commissioner of Securities has issued an advisory release concerning a rulemaking related to an exemption from registration for certain advisers to private funds. Read the release here. -
March 23, 2012
The Commissioner of Securities has issued an advisory release on the fast-approaching deadlines and best registration practices for investment advisers switching to state registration. Read the release here. -
December 30, 2011
The Commissioner of Securities sent a letter to Missouri Investment Advisers who may switch to state regulation in 2012 under the Dodd-Frank Act. Read the letter here
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December 15, 2011
Advisory Release AR-11-07
The Commissioner of Securities issued an advisory release summarizing NASAA’s coordinated review program for investment advisers switching to state regulation in 4-14 states. Read the release here. -
July 20, 2011
Advisory Release AR-11-04
The Commissioner of Securities for the State of Missouri issued an advisory release summarizing a No-Action Determination issued in response to a request by an adviser to a private fund. Read the release here.