SECURITIES

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

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