15 CSR 30-54.170 - Preeffective Offer Exemption

PURPOSE: This rule prescribes policies applicable to the availability of transactional exemptions to offers of securities as to which registration statements have been filed under both the Securities Act of 1933 and Chapter 409, RSMo.

(1) The exemption specified in section 409.2-202(16) of the Missouri Securities Act of 2003 (the Act) shall not be available to any offer made after the later of either effectiveness of registration under the Act or effectiveness of the registration statement filed under the Securities Act of 1933.

Notes

15 CSR 30-54.170
AUTHORITY: sections 409.2-202(16) and 409.6-605, RSMo Supp. 2003.* Original rule 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. Emergency amendment filed Aug. 19, 2003, effective Sept. 12, 2003, expired March 9, 2004.
AUTHORITY: sections 409.2-202(16) and 409.6-605, RSMo Supp. 2003.* Original rule 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. Emergency amendment filed Aug. 19, 2003, effective Sept. 12, 2003, expired March 9, 2004. Amended: Filed Aug. 27, 2003, effective Feb. 29, 2004.

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