SECURITIES

Nondelivery as a defense, 408.202 (4)

Notice:

Adverse claims, 408.304, 408.305, 408.403

Defect or defense, 408.202, 408.203

Overissue, effect of, 408.104

Pledge:

Duty of issuer to register, 408.401

Proof of authority, 408.316

Registration and release, uncertificated securities, 408.108

Within central depository system, 408.320

Pledgee, warranty of, 408.306 (4)

Presentment, certificated securities, warranties on, 408.306

Presumptions, 408.105

Price, action for, 408.107

Purchaser:

Delivery without endorsement, 408.307

Right to proof of authority to transfer, pledge or release on books, 408.316

Rights acquired by, 408.301

Transfer to, 408.313

Registered owners, rights and liabilities, 408.207

Registrar:

Duty of, 408.406

Signature by, 408.208

Registration of transfer, pledge or release:

Duty of issuer, 408.401

Liability for, 408.404

Lost, destroyed or stolen certificated securities, 408.405

Release:

Duty of issuer to register, 408.401

Proof of authority, 408.316

Security interests, 408.321

Short title, 408.101

Signatures:

Admissibility, 408.105

Authenticating trustee, registrar or transfer agent, 408.208

Guarantee of, 408.312, 408.402 (2)

Unauthorized, 408.205

Staleness as notice of adverse claims, 408.305

Staleness as notice of defects or defenses, 408.203

Statements of uncertificated securities, 408.408

Statute of frauds, application to sale of, 408.319

Stolen certificated securities, 408.405

Transfer, 408.107

Court compelled, 182.25

Duty of issuer to register, 408.401

Duty, when completed, 408.314

Proof of authority, 408.316

Restrictions on, 408.204

To purchaser, occurs when, 408.313

Warranties, 408.306

Within central depository system, 408.320

Wrongful, 408.315

Transfer agent:

Duty of, 408.406

Signature by, 408.208

Trustee, signature by, 408.208

Unauthorized endorsement or instruction, 408.311

Unauthorized signature, effect of, 408.205

Uncertificated securities:

Adverse claims, issuer's duty, 408.403

Issuer's rights and duties, 408.207

Liability for registration, 408.404 (3)

Perfecting security interest, multiple state transactions, 409.103 (6)

Registration of pledge and release, 408.108

Statements, 408.408

Warranties, 408.306

Warranties:

Arising from guaranty endorsement, signature or instruction, 408.312

Of originators of instructions, 408.306

On presentment and transfer of certificated securities, 408.306

Wrongful transfers, 408.315

Securities 3. Securities Division, Financial Institutions Dept. 3. Securities Division, Financial Institutions Dept.

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)

Broker-dealers:

Fraudulent activities, regulations, 551.43

Licensing procedure, 551.32

Post-licensing provisions, 551.33

Corporate take-over law, regulation:

Administration of corporate take-over law, 552.13

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

Criminal violations, refer evidence to attorney general or district attorney, 552.19