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.
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.
Subscribe
Subscribe to the Missouri Securities Division e-newsletter.
-
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
. -
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.