15 CSR 30-54.100 - Manual Exemption

PURPOSE: This amendment updates recognized securities manuals and policies applicable to nonissuer distributions of securities of issuers reported in the manuals.

(1) For the purpose of the manual exemption (section 409.2-202(2)(D) of the Missouri Securities Act of 2003 (the Act)), "nationally recognized securities manual or its electronic equivalent" shall mean: Fitch Investors Service, Mergent's Investor Service, and OTC Markets Group Inc. with respect to securities included on the OTCQX or OTCQB markets.

(2) The exemption specified in section 409.2-202(2)(D) of the Act shall be available only when a recognized manual has contained the required information for a period of not less than ninety (90) days prior to the transaction.

Notes

15 CSR 30-54.100

AUTHORITY: sections 409.2-202(2)(D) 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 March 21, 1974, effective April 1, 1974. Amended: Filed Nov. 15, 1974, effective Nov. 25, 1974. Amended: Filed Jan. 14, 1987, effective June 11 , 1987. Amended: Filed March 27, 1989, effective June 12, 1989. Emergency amendment filed Aug. 19, 2003, effective Sept. 12, 2003, expired March 9, 2004. Amended: Filed Aug. 27, 2003, effective Feb. 29, 2004. Amended by Missouri Register August 15, 2018/Volume 43, Number 16, effective 10/1/2018

*Original authority: 409.2-202, RSMo 2003; 409.6-605, RSMo 2003.