Mo. Code Regs. tit. 15 § 30-54.150

Current through Register Vol. 49, No. 23, December 2, 2024
Section 15 CSR 30-54.150 - Suggested Form of Investment Letter

PURPOSE: This rule suggests the form of an investment letter for securities offered pursuant to section 409.2-202(14), RSMo

___________________ 20 ______

(Name and Address of Issuer)

Dear Sir or Madam:

This is a statement of my intention to purchase (description of securities) of the (issuer) knowing that said (securities) are not registered for offer or sale under the Missouri Securities Act of 2003 (Chapter 409, RSMo).

Pursuant to subsection (D), of section 409.2-202(14) of the Missouri Securities Act of 2003, I hereby represent that I am purchasing said (securities) solely for investment and do not intend to divide my participation with others or to resell or otherwise dispose of all or any part of said (securities) in Missouri. In making the foregoing representations I understand that the statutory exemption of section 409.2-202(14) of the Missouri Securities Act of 2003 would not be available if I were acquiring said (securities) for resale or other disposition upon the occurrence or nonoccur-rence of some predetermined event.

I acknowledge that the (issuer) is relying on the statutory exemption of section 409.2-202(14) of the Missouri Securities Act of 2003, and is basing his/her reliance in part on my said representations.

Further, I acknowledge that, unless said (securities) are registered under the Missouri Securities Act of 2003, I may not resell, hypothecate, transfer or assign or make other disposition of said (securities) in the state of Missouri, except in transactions exempted from the registration requirements of the Act.

I have received and examined financial statements of the (issuer) for the (period or periods) and (other data) which I consider sufficient to enable me to form a decision concerning my purchase.

____________________________________

(Name and Address of Purchaser)

15 CSR 30-54.150

AUTHORITY: sections 409.2-202(14) and 409.6-605, RSMo Supp. 2013. Original rule filed July 21, 1972, effective Aug. 1, 1972. For intervening history, please consult the Code of State Regulations . Amended: Filed Dec. 3, 2013, effective July 31, 2014.