enforcement

Missouri Securities Enforcement Orders and News

The Missouri Secretary of State's Securities Division has updated its website to provide access to recent enforcement orders and news. This update aims to enhance investor protection by offering a centralized location for relevant information from the Enforcement Section.

Missouri Securities Administrative Orders

The Missouri Securities Division has updated its list of administrative orders. This includes rescinding an order related to investment adviser examination requirements and waiving examination requirements for certain broker-dealer agents and investment advisers. Several orders for payment from the Investor Restitution Fund are also listed.

Missouri Securities Division Consent Orders Index

The Missouri Securities Division has published an index of recent consent orders and other enforcement actions. These orders involve various financial firms and individuals, with dates signed ranging from July 2024 to January 2026. The index provides case numbers and links to official copies of the orders.