Endorsement,
see Endorsement, under this subhead
Securities account, acquisition of securities entitlement from intermediary,
408.501
Priority between security interests and entitlement holders,
408.511
Signatures:
Authenticating trustee, registrar or transfer agent, effect,
408.208
Certificates issued with unauthorized, effect,
408.205
Staleness as notice of defects or defenses,
408.203
Statute of frauds, inapplicable,
408.113
Transfer:
Endorsement,
see Endorsement, under this subhead
Instructions,
see Instructions, under this subhead
Purchasers:
Defects and defenses affecting,
408.202
Protected purchasers, defined, rights,
408.303
Registration,
see Registration of transfers, under this subhead
Restrictions on by issuer, effect,
408.204
Transfer agent:
Trustee, signature by, effect,
408.208
Warranties:
Arising from guaranty endorsement, signature or instruction,
408.306
Advertising, regulations,
551.53
Advisory activities, fraud, regulated,
551.44
Agents:
Licensing and notice filing procedure,
551.32
Post-licensing provisions,
551.33
Annual financial information to security holders,
551.60 (1)
Broker-dealers:
Fraudulent activities, regulations,
551.43
Licensing and notice filing 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
Offerors, limitations on,
552.11
Ownership information, filing requirements,
552.03
Solicitation materials, filing requirements,
552.07
Exemptions, unlawful representations,
551.55
Investment advisers:
Licensing and notice filing procedure,
551.32
Post-licensing provisions,
551.33
Licenses:
Powers and duties, generally,
551.60
Representations, unlawful,
551.55