15 CSR 30-50.020 - General Instructions
(1) Office Hours. The Securities Division
shall be open for transaction of business between the hours of 7:30 a.m. and
5:00 p.m. on Monday through Friday, public holidays excepted.
(2) Filing Documents with the Securities
Division.
(A) A document is filed when it is
received in the office of the commissioner, or filed through the Central
Registration Depository (CRD) System, the Investment Adviser Registration
Depository (IARD) System, or other electronic system approved by the
commissioner. All applications for registration and filings shall be dated and
bear a signature.
(B) All written
communications, including applications and inquiries not submitted through the
CRD System or the IARD System, shall be delivered by mail or carrier to
Secretary of State, Securities Division, 600 W. Main Street, PO Box 1276,
Jefferson City, MO 65102; or by facsimile to Secretary of State, Securities
Division, (573) 526-3124; or by electronic mail to an address approved by the
commissioner (section
409.6-606(a),
RSMo).
(C) Only the original
executed copy of each form is required. If a document pertains to more than one
(1) subject or application, a separate form, including cover or transmittal
letter, or two (2) or more copies of the letter commensurate with the number of
items submitted, should be filed.
(D) All forms and documents shall be printed,
photocopied, typewritten, in electronic format, or prepared by a similar
process which, in the opinion of the commissioner, produces copies suitable for
a permanent record. All forms and documents shall be clear, easily readable and
suitable for repeated photocopying. Exhibits may be attached and shall be
properly marked and identified.
(E)
All applications and other documents received and filed in the division become
a part of its permanent records and may not be returned to the applicant or
correspondent.
(3)
Practice of Law. The unauthorized practice of law or the appearance of
unauthorized practice shall be avoided in connection with any filing under the
Act.
(4) Delegation of Authority.
The commissioner may delegate to the staff of the Securities Division the
authority to act for the commissioner, or to perform necessary functions and
duties to carry out the purposes of the Act, rules promulgated thereunder and
the orders and policies of the commissioner (section
1.060, RSMo).
(5) Interpretive Opinions. Interpretive
opinions (section 409.6-605(d),
RSMo) including no action letters are rendered only in writing. Informal
discussions with the commissioner or members of the staff of the Securities
Division shall not be taken to signify any determination or approval concerning
the matters discussed.
(6)
Exceptions. When authorized by statute, the commissioner may authorize or make
exceptions to these rules as are necessary to carry out the provisions of the
Act. Nothing in these rules shall inhibit the exercise by the commissioner of
authority prescribed in or under the Act.
(7) Open Records Policy. The commissioner
shall issue an open records policy in compliance with Chapter 610, RSMo, and
consistent with section
409.6-607, RSMo.
Notes
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