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Missouri · Through 2026 legislative session (floor)

Mo. Rev. Stat. § 409.4-409: Withdrawal of registration of broker-dealer, agent, investment adviser, and investment adviser representative.

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Where this section sits in the code
  1. Title XXVI - TRADE AND COMMERCE
  2. Chapter 409 - Regulation of Securities

Withdrawal of registration by a broker-dealer, agent, investment adviser, or investment adviser representative becomes effective sixty days after the filing of the application to withdraw or within any shorter period as provided by rule adopted or order issued under this act unless a revocation or suspension proceeding is pending when the application is filed. If a proceeding is pending, withdrawal becomes effective when and upon such conditions as required by rule adopted or order issued under this act. The commissioner may institute a revocation or suspension proceeding under section 409.4-412 within one year after the withdrawal became effective automatically and issue a revocation or suspension order as of the last date on which registration was effective if a proceeding is not pending.

Collected 2026-09-03T22:23:28Z. Source file · JSON

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