SECURITIES

  Stay of orders, 551.62

Investigations, 551.56

Investment advisers:

  Licensing procedure, 551.32

  Post-licensing provisions, 551.33

Judicial review, 551.61

Licenses:

  Denial, 551.34

  Register, 551.64 (2)

  Revocation, 551.34

  Suspension, 551.34

Misleading filings, 551.54

Notice, exemption proceedings, 551.24 (6)

Oath, 15.06 (8)

Offerors under corporate take-over law, limitations on, 552.11

Office:

  Creation, 15.85

  Full-time, 15.06 (3)

Opinions, 551.64

Orders, 551.63

  Regarding corporate take-over law, 552.08, 552.13

Ownership information in corporate take-over, filing of with commissioner, 552.03

Powers, 551.60

Publication of information, 551.56 (1) (c)

Registration:

  Denial, 551.28

  Revocation, 551.28

  Suspension, 551.28

  Take-over offers, filing of statement, may call hearing, 552.05

  Unlawful representations, 551.55

Registration by coordination, duties, 551.25

Registration by qualification, duties, 551.26

Registration statements:

  Duties, 551.27

  Register, 551.64 (2)

Representations, unlawful, 551.55

Rules, 551.63

  Advertising, 551.53

  Broker-dealers, fraudulent activities, 551.43

  Clearing corporations, business by, 551.33 (6)

  Corporate take-over law, 552.13

  Delinquent or deficient filings of information, fees, 551.52, 553.72 (2)

  Examinations, expenses of, 551.52 (3)

  Licensing procedure, 551.32

  Post-licensing provisions, 551.33

Salary, 20.923 (4)

Sales, prohibited, 551.60 (2)

Security exemptions, deny or revoke by order, 551.24

Service of process, 551.65

Solicitation materials in corporate take-overs, file with commissioner, 552.07

Stockholders, list may be required, 551.60 (4)

Stop order proceedings, 551.28

Trading, order suspension, 551.60 (3)

Unlawful activities, 551.51 (2)

Violations of law:

  Procedure, 551.58

  Publication of information, 551.56 (1) (c)

Witnesses, subpoenas, 551.56

securities 3. securities law 3. Securities Law
Generally Ch. 551

Administration, 551.51

Administrative assessments, 551.605

Administrative files, 551.64

Advertising, regulation, 551.53

Advisory activities, fraud, 551.44

Agents:

  Licensing procedure, 551.32

  Licensing requirements, exceptions, 551.31 (2)

  Post-licensing provisions, 551.33

American stock exchange securities, exempt, 551.22 (7)

Application to take-over offers, 552.25

Banks, licensing, 551.31 (5)

Broker-dealers:

  Fees for licenses, 551.52 (2)

  Fraudulent activities, 551.43

  Licensing procedure, 551.32

  Licensing requirements, exception, 551.31 (1), (1m)

  Post-licensing provisions, 551.33

  Securities, exempt, 551.22 (14)

Burden of proof, 551.24 (2)

Canadian securities, exempt, 551.22 (2)

Chapter, scope, 551.66

Civil liabilities, 551.59

Commercial paper, exempt, 551.22 (9)

Commodity futures, exempt, 551.22 (15)

Common carrier securities, exempt, 551.22 (6)

Contribution notes, exempt, 551.22 (16)

Cooperative corporation securities, exempt, 551.22 (12)

Credit union securities, exempt, 551.22 (5)

Criminal liability, 551.58