As a general rule, if we have proof of receipt of the inquiry, the commissioner may issue a cease and desist order based on the failure to respond. Responses you may receive from a staff member Suggestion to obtain private counsel. This office cannot represent you, as it must pursue the State's interest which may or may not directly benefit you individually. If you choose to obtain private counsel, this office will cooperate with that individual to every extent possible. Information about arbitration.
Arbitration is a lower cost alternative to litigation.
The Registration Section registers securities that will be sold in this state, although there are some exemptions from registration. Potential investors should contact the division to find out whether a security is registered or an exemption has been filed. However, registration is no guarantee of a good investment. The Licensing Section registers and regulates the individuals who sell securities or give investment advice to Missouri investors. This includes stockbrokers, agents and investment advisors.