Signatures:
Authenticating trustee, registrar or transfer agent,
408.208
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
Duty of issuer to register,
408.401
Within central depository system,
408.320
Transfer agent:
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
Perfecting security interest, multiple state transactions,
409.103 (6)
Registration of pledge and release,
408.108
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
Advertising, regulations,
551.53
Advisory activities, fraud, regulated,
551.44
Agents:
Post-licensing provisions,
551.33
Annual financial information to security holders,
551.60 (1)
Broker-dealers:
Fraudulent activities, regulations,
551.43
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
Fees, filing registration statement,
552.15
Fraudulent and deceptive practices under corporate take-over law,
552.09 (5)
Expenses, hearings regarding,
552.15
Offerors, limitations on,
552.11
Ownership information, filing requirements,
552.03
Solicitation materials, filing requirements,
552.07
Exemptions, unlawful representations,
551.55
Investment advisers:
Post-licensing provisions,
551.33
Licenses: