2003 Statutes Index

Lost, destroyed or stolen certificated securities, replacement, 408.405

Notice to issuer, requirement, 408.406

Overissue, 408.210

Registration, see Registration of transfers, under this subhead

Responsibilities and defenses, 408.202

Restrictions on transfer by, effect, 408.204

Rights and duties respecting registered owners, 408.207

Signature by authenticating trustee, registrar or transfer agent, effect, 408.208

Law governing, 408.110

Levy, 408.112

Lost, destroyed or stolen certificated securities:

Notice to issuer, requirement, 408.406

Replacement, 408.405

Notice:

Adverse claims, 408.105

Defect or defense, 408.202, 408.203

Overissue, effect of, 408.210

Registered owners, rights and liabilities, 408.207

Registrar:

Duty of, 408.407

Signature by effect, 408.208

Registration of transfer:

Authenticating trustee, transfer agent or registrar, 408.407

Demand that issuer not register transfer, duty, 408.403

Duty of issuer, 408.401

Endorsement, see Endorsement, under this subhead

Wrongful registration, 408.404

Securities account, acquisition of securities entitlement from intermediary, 408.501

Security interests, see also Commercial Code—11. Secured Transactions

Priority between security interests and entitlement holders, 408.511

Saving provision, 408.603

Short title, 408.101

Signatures:

Authenticating trustee, registrar or transfer agent, effect, 408.208

Certificates issued with unauthorized, effect, 408.205

Guarantee, effect of, 408.306

Staleness as notice of defects or defenses, 408.203

Statute of frauds, inapplicable, 408.113

Transfer:

Court compelled, 182.25

Delivery defined, 408.301

Endorsement, see Endorsement, under this subhead

Instructions, see Instructions, under this subhead

Limited interest transferee, 408.302 (2)

Purchasers:

Defects and defenses affecting, 408.202

Protected purchasers, defined, rights, 408.303

Rights, 408.302, 408.307

Registration, see Registration of transfers, under this subhead

Restrictions on by issuer, effect, 408.204

Transfer agent:

Duty of, 408.407

Signature by, effect, 408.208

Trustee, signature by, effect, 408.208

Warranties:

Arising from guaranty endorsement, signature or instruction, 408.306

Direct holdings, 408.108

Indirect holdings, 408.109

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 and notice filing 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 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

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