State-Specific Information
Missouri
Agency: Office of the Secretary of State,
Division of Securities
Address: 600 West Main St, Room 229
P.O. Box 1276
Jefferson City, MO 65102-1276
Contact: Patrick T. Morgan, Securities Counsel
Telephone Number: (573) 751-1864
E-mail: patrick.morgan@sos.mo.gov
Fax Number: (573) 526-3124
Website Address: http://www.sos.mo.gov/securities/
Checks Payable
To: Director of
Rule 504 Filing Fees:
$100 + 1/20 of 1% of amt. to be registered in MO over $100,000, min. fee $100, max. fee $1,000.
Reg A Filing Fees:
$100 + 1/20 of 1% of amt. to be registered in MO over $100,000, min. fee $100, max. fee $1,000.
Agent Issuer Fees and
Filing and Testing Requirements:
$50 per agent + U-4. Examination requirements are (1) the applicable NASD examination and (2) either the Series 63 or Series 66 examination.
Post-Effective Filing
That Requires Fee:
None