reglab/housing_qa huggingface dataset:
MO Rev Stat § 409.615 (2021)
2021 Missouri Revised Statutes|Title XXVI - Trade and Commerce|Chapter 409 - Regulation of Securities|Section 409.615 - Refusal of request for disbursement or transaction, when — expiration.

Effective - 28 Aug 2020, 2 histories   409.615. Refusal of request for disbursement or transaction, when — expiration. — 1. A qualified individual may refuse a request for disbursement or transaction from the account of a qualified adult, or an account on which a qualified adult is a beneficiary or beneficial owner, if:  (1) The qualified individual reasonably believes that the requested disbursement or transaction will result in financial exploitation of the qualified adult; and  (2) The qualified individual, within two business days:  (a) Makes a reasonable effort to notify all parties authorized to transact business on the account orally or in writing, unless such parties are reasonably believed to have engaged in suspected or attempted financial exploitation of the qualified adult;  (b) Notifies the agencies; and  (c) Sends written notice to the qualified adult. Such notice shall include the name and contact information for the qualified individual who refused the disbursement or transaction and for the investor protection hotline administered by the securities division of the secretary of state.  2. Any refusal of a disbursement or transaction as authorized by this section shall expire upon the sooner of:  (1) The time when the qualified individual reasonably believes that the disbursement or transaction will not result in financial exploitation of the qualified adult; or  (2) Ten business days after the initial refusal of disbursement or transaction by the qualified individual.  3. Notwithstanding subsection 2 of this section to the contrary, following the refusal by a qualified individual of an initial request for disbursement or transaction from the account of a qualified adult:  (1) A court of competent jurisdiction may enter an order extending the refusal of a disbursement or transaction or any other protective relief;  (2) The commissioner of securities may enter an order extending the refusal of a disbursement or transaction for the time necessary to protect the qualified adult; or  (3) The director of the department of health and senior services, after notifying the commissioner of securities, may enter an order to extend the refusal of a disbursement or transaction for the time necessary to protect the qualified adult. ­­Subsequent to the issuance of an order under subdivision (2) or (3) of this subsection, the agency that issued the order shall conduct a review of the circumstances every thirty days to determine if the order extension should remain in effect. ­­-------- (L. 2015 S.B. 244, A.L. 2020 S.B. 599)
MO Rev Stat § 409.620 (2021)
2021 Missouri Revised Statutes|Title XXVI - Trade and Commerce|Chapter 409 - Regulation of Securities|Section 409.620 - Immunity from liability, when.

Effective - 28 Aug 2020, 2 histories   409.620. Immunity from liability, when. — Notwithstanding any other provision of law to the contrary, an investment adviser representative, agent, or qualified individual who, in good faith and exercising reasonable care, complies with section 409.610 or 409.615 shall be immune from any civil liability under those sections. ­­-------- (L. 2015 S.B. 244, A.L. 2020 S.B. 599)
MO Rev Stat § 409.625 (2021)
2021 Missouri Revised Statutes|Title XXVI - Trade and Commerce|Chapter 409 - Regulation of Securities|Section 409.625 - Records, provided to agencies or law enforcement, when.

Effective - 28 Aug 2020, 2 histories   409.625. Records, provided to agencies or law enforcement, when. — A qualified individual shall, upon request, provide access to or copies of records that are relevant to the suspected financial exploitation of a qualified adult to the agencies or law enforcement. The records may include historical records or records relating to the most recent disbursement as well as disbursements that comprise the suspected financial exploitation of a qualified adult. All records made available to the agencies under this section shall not be considered a public record as defined under chapter 610. ­­-------- (L. 2015 S.B. 244, A.L. 2020 S.B. 599)
MO Rev Stat § 409.630 (2021)
2021 Missouri Revised Statutes|Title XXVI - Trade and Commerce|Chapter 409 - Regulation of Securities|Section 409.630 - Website for training resources to prevent and detect financial exploitation.

Effective - 28 Aug 2020, 2 histories   409.630. Website for training resources to prevent and detect financial exploitation. — No later than September 1, 2021, the commissioner of securities shall develop and make available a website that includes training resources to assist broker-dealers, investment advisers, agents, and investment adviser representatives in the prevention and detection of financial exploitation of qualified adults. Such resources shall include, at a minimum, indicators of financial exploitation of qualified adults and potential steps broker-dealers, investment advisers, agents, and investment adviser representatives may take to prevent suspected financial exploitation of qualified adults as authorized by law. ­­-------- (L. 2015 S.B. 244, A.L. 2020 S.B. 599)
MO Rev Stat § 409.803 (2021)
2021 Missouri Revised Statutes|Title XXVI - Trade and Commerce|Chapter 409 - Regulation of Securities|Section 409.803 - Prohibited contracts — exemptions.

Effective - 28 Aug 1985   409.803. Prohibited contracts — exemptions. — 1. Except as otherwise provided in subdivision (1) of subsection 1 of section 409.806, no person shall offer to enter into, enter into, or confirm the execution of, any transaction for the delivery of any commodity under a commodity contract commonly known as a margin account, margin contract, leverage account, or leverage contract, or under any contract, account, arrangement, scheme, or device that serves the same function or functions or is marketed or managed in substantially the same manner as such account or contract.  2. No person shall sell or purchase, or offer to sell or purchase, any commodity under any other commodity contract or under any commodity option or offer to enter into or enter into as seller or purchaser any other commodity contract or any commodity option. The provisions of this subsection shall not apply to any of the following persons, or any employee, officer or director thereof acting solely in that capacity:  (1) A person registered with the Commodity Futures Trading Commission as a futures commission merchant or as a leverage transaction merchant whose activities require such registration;  (2) A person registered with the Securities and Exchange Commission as a broker-dealer whose activities require such registration;  (3) A person affiliated with, and whose obligations and liabilities are guaranteed by, a person referred to in subdivision (1) or (2) of this subsection;  (4) A person who is a member of a contract market designated by the Commodity Futures Trading Commission, or any clearinghouse thereof;  (5) A financial institution;  (6) A person registered under the laws of this state as a securities broker-dealer whose activities require such registration; or  (7) A person registered as a commodity broker-dealer or commodity sales representative in accordance with the provisions of sections 409.850 to 409.863. ­­-------- (L. 1985 H.B. 409 & 532 § 2)
MO Rev Stat § 409.808 (2021)
2021 Missouri Revised Statutes|Title XXVI - Trade and Commerce|Chapter 409 - Regulation of Securities|Section 409.808 - Commodity merchants — license required, boards of trade — designation required.

Effective - 28 Aug 1985   409.808. Commodity merchants — license required, boards of trade — designation required. — 1. No person shall engage in a trade or business or otherwise act as a commodity merchant unless such person is registered or temporarily licensed with the Commodity Futures Trading Commission for each activity constituting such person as a commodity merchant and such registration or temporary license shall not have expired, nor been suspended nor revoked; or is exempt from such registration by virtue of the Commodity Exchange Act or of a CFTC Rule.  2. No board of trade shall trade, or provide a place for the trading of, any commodity contract or commodity option required to be traded on or subject to the rules of a contract market designated by the Commodity Futures Trading Commission unless such board of trade has been so designated for such commodity contract or commodity option and such designation shall not have been vacated, nor suspended nor revoked. ­­-------- (L. 1985 H.B. 409 & 532 § 4)
MO Rev Stat § 409.810 (2021)
2021 Missouri Revised Statutes|Title XXVI - Trade and Commerce|Chapter 409 - Regulation of Securities|Section 409.810 - Prohibited acts.

Effective - 28 Aug 1985   409.810. Prohibited acts. — No person shall, directly or indirectly:  (1) Cheat or defraud, attempt to cheat or defraud, or employ any device, scheme or artifice to cheat or defraud, any other person;  (2) Make any false report, enter any false record, or make any untrue statement of a material fact;  (3) Engage in any transaction, act, practice or course of business, including, without limitation, any form of advertising or solicitation, which operates or would operate as a fraud or deceit upon any person; or  (4) Misappropriate or convert the funds, security or property of any other person; ­­in or in connection with the purchase or sale of, the offer to sell, the offer to enter into, or the entry into of, any commodity contract or commodity option subject to the provisions of section 409.803 or subdivision (2), (3), or (4) of subsection 1 of section 409.806; except that, the provisions of subdivision (2) of this section shall not apply to a commodity contract covered by subdivision (3) of subsection 1 of section 409.806. ­­-------- (L. 1985 H.B. 409 & 532 § 5)
MO Rev Stat § 409.813 (2021)
2021 Missouri Revised Statutes|Title XXVI - Trade and Commerce|Chapter 409 - Regulation of Securities|Section 409.813 - Principals, agents, joint and several liability — when.

Effective - 28 Aug 1985   409.813. Principals, agents, joint and several liability — when. — 1. The act, omission, or failure of any official, agent, or other person acting for any individual, association, partnership, corporation, or trust within the scope of his employment or office shall be deemed the act, omission, or failure of such individual, association, partnership, corporation, or trust, as well as of such official, agent, or other person.  2. Every person who directly or indirectly controls another person liable under any provision of sections 409.800 to 409.863, every partner, officer, or director of such other person, every person occupying a similar status or performing similar functions, and every employee of such other person who materially aids in the violation is also liable jointly and severally with and to the same extent as such other person, unless the person who is also liable by virtue of this subsection sustains the burden of proof that he did not know and, in exercise of reasonable care, could not have known of the existence of the facts by reason of which the liability is alleged to exist. ­­-------- (L. 1985 H.B. 409 & 532 § 6)
MO Rev Stat § 409.816 (2021)
2021 Missouri Revised Statutes|Title XXVI - Trade and Commerce|Chapter 409 - Regulation of Securities|Section 409.816 - Applicability of other laws.

Effective - 28 Aug 1985   409.816. Applicability of other laws. — Nothing in sections 409.800 to 409.863 shall impair, derogate or otherwise affect the authority or powers of the commissioner under this chapter or the application of any provision of this chapter to any person or transaction subject thereto. ­­-------- (L. 1985 H.B. 409 & 532 § 7)
MO Rev Stat § 409.818 (2021)
2021 Missouri Revised Statutes|Title XXVI - Trade and Commerce|Chapter 409 - Regulation of Securities|Section 409.818 - Intent of law.

Effective - 28 Aug 1985   409.818. Intent of law. — Sections 409.800 to 409.863 may be construed and implemented to effectuate their general purpose to protect investors, to prevent and prosecute illegal and fraudulent schemes involving commodities and to maximize coordination with federal and other states' law and the administration and enforcement thereof. ­­-------- (L. 1985 H.B. 409 & 532 § 8)
MO Rev Stat § 409.820 (2021)
2021 Missouri Revised Statutes|Title XXVI - Trade and Commerce|Chapter 409 - Regulation of Securities|Section 409.820 - Investigations by commissioner, subpoena powers — judicial enforcement.

Effective - 28 Aug 1985   409.820. Investigations by commissioner, subpoena powers — judicial enforcement. — 1. The commissioner may make investigations, within or without this state, as he finds necessary or appropriate to:  (1) Determine whether any person has violated, or is about to violate, any provision of sections 409.800 to 409.863 or any rule or order of the commissioner; or  (2) Aid in enforcement of sections 409.800 to 409.863.  2. The commissioner may publish information concerning any violations of sections 409.800 to 409.863 or any rule or order issued or promulgated under sections 409.800 to 409.863.  3. For purposes of any investigation or proceeding under sections 409.800 to 409.863, the commissioner, or any officer or employee designated by rule or order of the commissioner, may administer oaths and affirmations, subpoena witnesses, compel their attendance, take evidence, and require the production of any books, papers, correspondence, memoranda, agreements, or other documents or records which the commissioner finds to be relevant or material to the inquiry. If a person does not give testimony or produce the documents required by the commissioner, or a designated employee, pursuant to an administrative subpoena, the commissioner, or his designated employee, may apply for a court order compelling compliance with the subpoena or the giving of the required testimony. The request for order of compliance may be addressed to either:  (1) The circuit court of Cole County or the circuit court where service may be obtained on the person refusing to testify or produce, if the person is within this state; or  (2) The appropriate court of the state having jurisdiction over the person refusing to testify or produce, if the person is outside this state. ­­-------- (L. 1985 H.B. 409 & 532 § 9)
MO Rev Stat § 409.823 (2021)
2021 Missouri Revised Statutes|Title XXVI - Trade and Commerce|Chapter 409 - Regulation of Securities|Section 409.823 - Violations — powers of commissioner.

Effective - 28 Aug 1985   409.823. Violations — powers of commissioner. — 1. If the commissioner believes, whether or not based upon an investigation conducted under section 409.820, that any person has engaged or is about to engage in any act or practice constituting a violation of any provision of sections 409.800 to 409.863 or any rule or order promulgated or issued under sections 409.800 to 409.863, the commissioner may:  (1) Issue a cease and desist order;  (2) Take disciplinary action against a licensed person as specified in section 409.863;  (3) Issue an order imposing a civil penalty in amount which may not exceed ten thousand dollars for any single violation or one hundred thousand dollars for multiple violations in a single proceeding or a series of related proceedings; or  (4) Initiate any of the actions specified in subsection 2 of this section.  2. The commissioner may institute any of the following actions in the appropriate courts of this state, or in the appropriate courts of another state, in addition to any legal or equitable remedies otherwise available:  (1) An action for declaratory judgment;  (2) An action for a prohibitory or mandatory injunction to enjoin the violation and to insure compliance with sections 409.800 to 409.863 or any rule or order of the commissioner;  (3) An action for appointment of a receiver or conservator for the defendant or the defendant's assets. ­­-------- (L. 1985 H.B. 409 & 532 § 10)
MO Rev Stat § 409.828 (2021)
2021 Missouri Revised Statutes|Title XXVI - Trade and Commerce|Chapter 409 - Regulation of Securities|Section 409.828 - Penalties.

Effective - 28 Aug 1985   409.828. Penalties. — 1. Any person who willfully violates any provision of sections 409.800 to 409.863 shall, upon conviction, be fined not more than twenty thousand dollars or imprisoned for not more than ten years, or both, for each such violation.  2. The commissioner may refer such evidence as is available concerning violations of sections 409.800 to 409.863 to the attorney general or the proper prosecuting attorney, who may, with or without such a reference from the commissioner, institute the appropriate criminal proceedings under sections 409.800 to 409.863. ­­-------- (L. 1985 H.B. 409 & 532 § 12)
MO Rev Stat § 409.830 (2021)
2021 Missouri Revised Statutes|Title XXVI - Trade and Commerce|Chapter 409 - Regulation of Securities|Section 409.830 - Insiders — restricted use of information, data to be public, exceptions.

Effective - 28 Aug 1985   409.830. Insiders — restricted use of information, data to be public, exceptions. — 1. Sections 409.800 to 409.863 shall be administered by the commissioner. Neither the commissioner nor any employees of the commissioner shall use any information which is filed with or obtained by the commissioner and which is not public information for personal gain or benefit, nor shall the commissioner nor any of his employees conduct any securities or commodity dealings whatsoever based upon any such information, even though public, if there has not been a sufficient period of time for the securities or commodity markets to assimilate such information.  2. All information collected, assembled or maintained by the commissioner is public information and is available for the examination of the public as provided by chapter 610, except for the following, which are deemed to be confidential:  (1) Information obtained in private investigations pursuant to section 409.820;  (2) Information made confidential by the provisions of chapter 610; and  (3) Information obtained from federal agencies which may not be disclosed under federal law. ­­The commissioner, in his discretion, may disclose any information made confidential under this subsection to persons listed in subsection 1 of section 409.833.  3. No provision of sections 409.800 to 409.863 either creates or derogates any privilege which exists at common law, by statute, or otherwise when any documentary or other evidence is sought under subpoena directed to the commissioner or any employee of the commissioner. ­­-------- (L. 1985 H.B. 409 & 532 § 13)
MO Rev Stat § 409.833 (2021)
2021 Missouri Revised Statutes|Title XXVI - Trade and Commerce|Chapter 409 - Regulation of Securities|Section 409.833 - Cooperation with other jurisdictions, agencies.

Effective - 28 Aug 1985   409.833. Cooperation with other jurisdictions, agencies. — 1. To encourage uniform application and interpretation of sections 409.800 to 409.863 and securities regulation and enforcement in general, the commissioner and the employees of the commissioner may cooperate, including bearing the expense of the cooperation, with the securities agencies or administrator of another jurisdiction, Canadian province or territory, or such other agencies administering this act*, the Commodity Futures Trading Commission, the Securities and Exchange Commission, any self-regulatory organization established under the Commodity Exchange Act or the Securities Exchange Act of 1934, any national or international organization of commodities or securities officials or agencies, and any governmental law enforcement agency.  2. The cooperation authorized by subsection 1 of this section shall include, but need not be limited to, the following:  (1) Making joint examinations or investigations;  (2) Holding joint administrative hearings;  (3) Filing and prosecuting joint litigation;  (4) Sharing and exchanging personnel;  (5) Sharing and exchanging information and documents;  (6) Formulating and adopting mutual regulations, statements of policy, guidelines, proposed statutory changes and releases; and  (7) Issuing and enforcing subpoenas at the request of the agency administering sections 409.800 to 409.863 in another jurisdiction, the securities agency of another jurisdiction, the Commodity Futures Trading Commission or the Securities and Exchange Commission if the information sought would also be subject to lawful subpoena for conduct occurring in this state. ­­-------- (L. 1985 H.B. 409 & 532 § 14)  *Words "this act" appear in original rolls; apparently §§ 409.800 to 409.863 intended.
MO Rev Stat § 409.836 (2021)
2021 Missouri Revised Statutes|Title XXVI - Trade and Commerce|Chapter 409 - Regulation of Securities|Section 409.836 - General authority of commissioner.

Effective - 28 Aug 1985   409.836. General authority of commissioner. — In addition to specific authority granted elsewhere in sections 409.800 to 409.863, the commissioner may make, amend, and rescind rules, forms, and orders as are necessary to carry out the provisions of* sections 409.800 to 409.863. ­­-------- (L. 1985 H.B. 409 & 532 § 15)  *Word "of" does not appear in original rolls; omitted by typographical error.
MO Rev Stat § 409.838 (2021)
2021 Missouri Revised Statutes|Title XXVI - Trade and Commerce|Chapter 409 - Regulation of Securities|Section 409.838 - Service of process, appointment of commissioner as agent for service.

Effective - 28 Aug 1985   409.838. Service of process, appointment of commissioner as agent for service. — 1. Every applicant for registration under sections 409.800 to 409.863 shall file with the commissioner, in such form as he by rule prescribes, an irrevocable consent appointing the commissioner, or his successor in office, to be his attorney to receive service of any lawful process in any noncriminal suit, action, or proceeding against him, or his successor executor or administrator, which arises under sections 409.800 to 409.863, or any rule or order promulgated or issued under sections 409.800 to 409.863, after the consent has been filed, with the same force and validity as if served personally on the person filing the consent. Service may be made by leaving a copy of the process in the office of the commissioner, but it is not effective unless:  (1) The plaintiff, who may be the commissioner in a suit, action, or proceeding instituted by him, forthwith sends notice of the service and a copy of the process by registered mail to the defendant or respondent at his last address on file with the commissioner; and  (2) The plaintiff's affidavit of compliance with this subsection is filed in the case on or before the return day of the process, if any, or within such further time as the court allows.  2. When a person, including a nonresident of this state, engages in conduct prohibited or made actionable by sections 409.800 to 409.863, or any rule or order of the commissioner, the engaging in such conduct shall constitute the appointment of the commissioner as such person's attorney to receive service of any lawful process in a noncriminal proceeding against such person, his successor, or personal representative, which grows out of that conduct and which is brought under sections 409.800 to 409.863 or any rule or order of the commissioner with the same force and validity as if served personally.  3. Service under subsection 1 of this section may be made by leaving a copy of the process in the office of the commissioner, but it is not effective unless:  (1) The plaintiff, who may be the commissioner in a suit, action or proceeding instituted by him, forthwith sends notice of the service and a copy of the process by registered mail to the defendant or respondent at his last address known to the commissioner; and  (2) The plaintiff's affidavit of compliance with this subsection is filed in the case on or before the return day of the process, if any, or within such further time as the court allows. ­­-------- (L. 1985 H.B. 409 & 532 § 16)