15 CSR 30-51.120 - Records Required of Broker-Dealers

PURPOSE: This amendment clarifies the applicable federal regulations for broker-dealer recordkeeping requirements.

(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 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 Rescinded and readopted: Filed Aug. 25, 2003, effective Feb. 29, 2004.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

*Original authority: 409.4-411, RSMo 2003 and 409.6-605, RSMo 2003.