15 CSR 30-54.290 - Canadian-United States Cross-Border Trading Exemption

PURPOSE: This rule prescribes transactions exempted pursuant to section 409.2-203, RSMo, for Canadians who are temporarily a resident in or visiting this state and persons in the state who are holders of or contributors to Canadian self-directed tax advantaged retirement accounts.

(1) Any offer or sale of a security effected by a Canadian broker-dealer exempted from broker-dealer registration pursuant to 15 CSR 30-51.180 is exempted from the securities registration requirements of section 409.3-301, RSMo.

Notes

15 CSR 30-54.290

AUTHORITY: sections 409.2-203 and 409.6605, RSMo Supp. 2003.* Original rule filed Dec. 28, 2001, effective July 30, 2002. Emergency amendment filed Aug. 19, 2003, effective Sept. 12, 2003, expired March 9, 2004. Amended: Filed Aug. 27, 2003, effective Feb. 29, 2004.

AUTHORITY: sections 409.2-203 and 409.6-605, RSMo Supp. 2003.* Original rule filed Dec. 28, 2001, effective July 30, 2002. Emergency amendment filed Aug. 19, 2003, effective Sept. 12, 2003, expired March 9, 2004. Amended: Filed Aug. 27, 2003, effective Feb. 29, 2004.