2021 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—10. 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 law 3. Securities Law

Generally, Ch. 551

Administration of law:

Generally, 551.601

Administrative enforcement of chapter, penalties, 551.604

Existing and pending proceedings, predecessor act, 551.703

Fees and expenses, 551.614

Investigation and subpoena power, 551.602

Judicial review of orders, 551.609

Jurisdiction, 551.613

Public records:

Confidential, when, 551.607

Maintaining, 551.606

Rules, forms, orders, interpretative opinions, and hearings, 551.605

Service of process, 551.611

Uniform application of law; cooperation with other jurisdictions, agencies, 551.608

Agents:

Post-licensing provisions, 551.411

Registration:

Denial, suspension, revocation, condition or limitation, 551.412

Procedure, 551.406

Requirements, exceptions, 551.402

Withdrawal of, 551.409

Termination or transfer of employment or association, 551.408

Broker-dealers:

Post-licensing provisions, 551.411

Registration:

Denial, suspension, revocation, condition or limitation, 551.412

Procedure, 551.406

Requirements, exception, 551.401

Succession and change in, 551.407