409.833. 1. To encourage uniform application andinterpretation of sections 409.800 to 409.863 and securitiesregulation and enforcement in general, the commissioner and theemployees of the commissioner may cooperate, including bearingthe expense of the cooperation, with the securities agencies oradministrator of another jurisdiction, Canadian province orterritory, or such other agencies administering this act*, theCommodity Futures Trading Commission, the Securities and ExchangeCommission, any self-regulatory organization established underthe Commodity Exchange Act or the Securities Exchange Act of1934, any national or international organization of commoditiesor securities officials or agencies, and any governmental lawenforcement agency.
2. The cooperation authorized by subsection 1 of thissection 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, statementsof policy, guidelines, proposed statutory changes and releases;and
(7) Issuing and enforcing subpoenas at the request of theagency administering sections 409.800 to 409.863 in anotherjurisdiction, the securities agency of another jurisdiction, theCommodity Futures Trading Commission or the Securities andExchange Commission if the information sought would also besubject 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.
409.833. 1. To encourage uniform application andinterpretation of sections 409.800 to 409.863 and securitiesregulation and enforcement in general, the commissioner and theemployees of the commissioner may cooperate, including bearingthe expense of the cooperation, with the securities agencies oradministrator of another jurisdiction, Canadian province orterritory, or such other agencies administering this act*, theCommodity Futures Trading Commission, the Securities and ExchangeCommission, any self-regulatory organization established underthe Commodity Exchange Act or the Securities Exchange Act of1934, any national or international organization of commoditiesor securities officials or agencies, and any governmental lawenforcement agency.
2. The cooperation authorized by subsection 1 of thissection 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, statementsof policy, guidelines, proposed statutory changes and releases;and
(7) Issuing and enforcing subpoenas at the request of theagency administering sections 409.800 to 409.863 in anotherjurisdiction, the securities agency of another jurisdiction, theCommodity Futures Trading Commission or the Securities andExchange Commission if the information sought would also besubject 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.
409.833. 1. To encourage uniform application andinterpretation of sections 409.800 to 409.863 and securitiesregulation and enforcement in general, the commissioner and theemployees of the commissioner may cooperate, including bearingthe expense of the cooperation, with the securities agencies oradministrator of another jurisdiction, Canadian province orterritory, or such other agencies administering this act*, theCommodity Futures Trading Commission, the Securities and ExchangeCommission, any self-regulatory organization established underthe Commodity Exchange Act or the Securities Exchange Act of1934, any national or international organization of commoditiesor securities officials or agencies, and any governmental lawenforcement agency.
2. The cooperation authorized by subsection 1 of thissection 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, statementsof policy, guidelines, proposed statutory changes and releases;and
(7) Issuing and enforcing subpoenas at the request of theagency administering sections 409.800 to 409.863 in anotherjurisdiction, the securities agency of another jurisdiction, theCommodity Futures Trading Commission or the Securities andExchange Commission if the information sought would also besubject 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.
