| SB 0375 | Registration of Security Dealers and Securities Within MO |
| Sponsor: | Mathewson | |||
| LR Number: | L1417.04T | Fiscal Note: | 1417-04 | |
| Committee: | Financial and Governmental Operations | |||
| Last Action: | 06/24/97 - Signed by Governor | Journal page: | ||
| Title: | HCS/SB 375 | |||
| Effective Date: | August 28, 1997 | |||
HCS/SB 375 - This act clarifies the registration and
reporting requirements of broker-dealers, agents and investments
advisors to include "investment advisor representatives",
"federal covered advisers" and "federal covered securities"
within the state. The Commissioner is further authorized to
create notice filing requirements for persons or transactions
governed by the Securities Exchange Commission or other federal
acts.
DENISE GARNIER