Missouri Investment Adviser Application Checklist
Missouri Securities Division Audit Unit Information
IA Switch Pre-Registration Exam Report
IA Switch Final Report
Presentation on IA Switch Issues
No-Action Determination Concerning Private Fund Advisers
December 2011 Letter to Switching Investment Advisers
No-Action Determination on Pending Application at Switch Deadline
Key Citations for Investment Advisers in Chapter 50
Definition of "Chief Compliance Officer": 15 CSR 30-50.010(G)
Registration Fees: 15 CSR 30-50.030
Key Citations for Investment Advisers in Chapter 51
Applying for Registration: 15 CSR 30-51.020
Examination Requirements: 15 CSR 30-51.030
Net Worth Requirement for Investment Advisers: 15 CSR 30-51.070
Investment Adviser Custody: 15 CSR 30-51.100
Books and Records Requirements for Investment Advisers: 15 CSR 30-51.140
Solicitors: 15 CSR 30-51.180(5) AND 15 CSR 30-51.145(1)
Performance-based Fees: 15 CSR 30-51.145(2)
Continuing Duty to Disclose Material Information: 15 CSR 30-51.160(3)(A)
Written Disclosure Document (ADV Part 2): 15 CSR 30-51.160(3)(D)
Advertising Past Performance: 15 CSR 30-51.140(1)(N) and 15 CSR 30-51.172(1)(S)
Dishonest or Unethical Practices: 15 CSR 30-51.172
Supervision Guidelines: 15 CSR 30-51.173
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.
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Copyright © 2011 • Missouri Office of the Secretary of State • Securities Division • IA Switch 2011