PURPOSE: This rule prescribes 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 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 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: Filed April 12, 2018,
effective Sept. 30, 2018.
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
