Missouri Securities Compliance

Missouri securities laws indicate that securities and investment firms must engage in compliance. This regulatory adherence protects individual and corporate investment clients from security misconduct such as churning, fraud, manipulation of markets, options abuse, failure of supervision, insider trading, and more.

Missouri Securities Compliance Laws

Security compliance in Missouri typically takes the form of adherence to regulatory mandates issued by federal, state, and industry regulatory bodies.

• On a federal level, securities firms seek to attain certified securities compliance with the US Securities and Exchange Commission (SEC).
• On a state level, securities firms seeking to attain securities compliance in Missouri do so via adherence to regulations mandated by the Missouri Secretary of State and the local Blue Sky compliance laws.
• On an industry level, securities compliance is attained by following the compliance regulations set forth by self regulatory groups, such as the Financial Industry Regulatory Authority (FINRA).

Missouri Blue Sky laws apply across the board to all securities companies, regardless of their size. Per the Missouri Uniform Securities Act of 2003, all securities offered or sold in Missouri have to be registered with the Commissioner of Securities.

There are some exceptions to the Uniform Securities act, however. For example, statute 409.2-202(14) lets companies raise capital and not have to file a registration statement. However, such companies are only allowed to sell to 25 investors in one year.

Missouri Securities Law Firm

Assuring adherence to compliance regulations can be a complex, difficult task. It requires thorough knowledge of securities compliance laws, as well as the steps necessary to complete the procedures appropriately.

It is highly recommended that firms seeking to assure securities compliance use the services of a Missouri securities law firm. Further, individual investors seeking claims related to securities fraud or wrongdoing are likewise advised to consult with a securities law firm. The Hershewe Law Firm provides both companies and individual investors with complete, knowledgeable, professional, and highly successful securities legal services.

Contact them today toll free at 1-877-382-9734 or via our web form.