PURPOSE: This rule prescribes the books and
records required to be kept by broker-dealers that comply with the National
Securities Markets Improvement Act of 1996 and the Missouri Securities Act of
2003 that became effective September 1, 2003.
(1) Every broker-dealer registered or
required to be registered under the Missouri Securities Act of 2003 shall make
and maintain records as required for brokers or dealers under the rules
promulgated under the Securities Exchange Act of 1934, as amended
(17 CFR
240.17a-3 and
17 CFR
240.17a-4).
Notes
15 CSR 30-51.120
AUTHORITY:
sections 409.4-411(c) and
409.6-605, RSMo 2016.* Original rule filed
June 25, 1968, effective Aug. 1, 1968. Amended: Filed May 21, 1969, effective
Aug. 1, 1969. Amended: Filed July 21, 1972, effective Aug. 1, 1972. Amended:
Filed Nov. 15, 1974, effective Nov. 25, 1974. Amended: Filed Oct. 16, 1986,
effective Feb. 12, 1987. Emergency rescission and rule filed Aug. 25, 2003,
effective Sept. 12, 2003, expired March 9, 2004. Rescinded and readopted: Filed
Aug. 25, 2003, effective Feb. 29, 2004. Amended: Filed July 19, 2019, effective
Jan. 30, 2020.
AUTHORITY: sections
409.4-411(c) and
409.6-605, RSMo Supp.2003.* Original rule
filed June 25, 1968, effective Aug. 1, 1968. Amended: Filed May 21, 1969,
effective Aug. 1, 1969. Amended: Filed July 21, 1972, effective Aug. 1, 1972.
Amended: Filed Nov. 15, 1974, effective Nov. 25, 1974. Amended: Filed Oct. 16,
1986, effective Feb. 12, 1987. Emergency rescission and rule filed Aug. 25,
2003, effective Sept. 12, 2003, expired March 9, 2004. Rescinded and readopted:
Filed Aug. 25, 2003, effective Feb. 29, 2004.
Amended by
Missouri
Register December 16, 2019/Volume 44, Number 24, effective
1/30/2020
