SECURITIES

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

Injunctions, 552.17

Offerors, limitations on, 552.11

Orders regarding, 552.08, 552.13

Ownership information, filing requirements, 552.03

Rules, 552.13

Solicitation materials, filing requirements, 552.07

Creation, 15.183 (3)

Disclosure of information, illegal, 551.51 (2)

Examinations, charge for expenses, 551.52 (3)

Exemptions, unlawful representations, 551.55

Files, administrative, 551.64

Filings, misleading, 551.54

Forms, 551.63

Hearings, 551.56 (1) (d), 551.61

Injunctions, 551.57

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)

Opinions, 551.64

Orders, 551.63

Powers and duties, generally, 551.60

Publication of information, 551.51, 551.60

Registration, see Securities-4. Securities Law

Representations, unlawful, 551.55

Rules, 551.63

Advertising, 551.53

Broker-dealers, fraudulent activities, 551.43

Clearing corporations, business by, 551.33 (6)

Delinquent or deficient filings of information, fees, 551.52

Examinations, expenses of, 551.52 (3)

Licensing procedure, 551.32

Post-licensing provisions, 551.33

Sales, prohibited, 551.60 (2)

Security exemptions, deny or revoke by order, 551.24

Service of process, 551.65

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 4. Securities Law 4. 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

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

Burden of proof, 551.24 (2)

Chapter, scope, 551.66

Civil liabilities, 551.59

Criminal liability, 551.58

Definitions, 551.02

Exemption proceedings, 551.24

Exempt securities, 551.22

Unlawful representations, 551.55

Exempt transactions, 551.23

Unlawful representations, 551.55

Fees and expenses, 551.52

Files, administrative, 551.64

Filings, misleading, 551.54