SECURITIES

securities SECURITIES
1.   General Provisions
2.   Commissioner of Securities
3.   Securities Law
4.   Securities of Public Service Corporations

securities 1. general provisions 1. General Provisions

Abandoned, public sale, 177.22

Certificated securities, see Commercial Code - 7. Investment Securities

Cooperatives, 185.23, 185.24

  Application of ch. 408, 185.25

Corporations, offer and sale, 181.78

Fraudulent representations, 100.18

Incompetents, ownership by, 880.76

Investment securities, see Commercial Code - 7. Investment Securities

Limited partnership, offer and sale, 179.08

Minors, ownership by, 880.75

Public service corporations, Ch. 184

Retention of decedent's, 881.05

Spendthrifts, ownership by, 880.76

Transfer:

  From joint tenants, 182.24

  Uniform fiduciary transfer act, 112.06

Transfers on death, 705.20 to 705.30

Transfers to minors, 880.61 to 880.72

Trust fund investments:

  Eligible for, Ch. 219

  Prudent person rule, 881.01

Trusts:

  Registration in nominee, 701.19 (6)

  With state treasurer, 14.58 (13)

Uncertificated securities, see Commercial Code - 7. Investment Securities

Will:

  Anti-ademption statute, 853.35 (6)

  Gift construed as specific, 853.33, 853.35 (6)

securities 2. commissioner of securities 2. Commissioner of Securities

Administration of corporate take-over law, 552.13

Administration of law, 551.51

Administrative files, 551.64

Advertising, regulations, 551.53

Advisory activities, fraud, regulated, 551.44

Agents:

  Licensing procedure, 551.32

  Post-licensing provisions, 551.33

Annual financial information to security holders, 551.60 (1)

Appointment by governor, term, 15.06 (1) (b)

Appropriation, 20.185

Broker-dealers:

  Fraudulent activities, regulations, 551.43

  Licensing procedure, 551.32

  Post-licensing provisions, 551.33

Comity, registration and filing requirements on take-over offers, determination by order, 552.08

Corporate take-over law, regulation, Ch. 552

Creation of office, 15.85

Criminal violations, corporate take-over law, refer evidence to attorney general or district attorney, 552.19

Deputy commissioner:

  Appointment, 551.51

  Salary, 20.923 (8)

  Unclassified, 230.08 (2) (l)

Disclosure of information, illegal, 551.51 (2)

Examinations, charge for expenses, 551.52 (3)

Exemptions, unlawful representations, 551.55

Fees, filing corporate take-over registration statement, 552.15

Files, administrative, 551.64

Filings, misleading, 551.54