SECURITIES

Securities SECURITIES
1. General Provisions
2. Commercial Code Provisions
3. Securities Division, Financial Institutions Dept.
4. Securities Law
5. Securities of Public Service Corporations

SECURITIES 1. General Provisions 1. General Provisions

Abandoned, public sale, 177.22

Certified capital companies, see Certified Capital Companies; Investment Associations

Cooperatives, 185.23, 185.24

Application of ch. 408, 185.25

Corporations, offer and sale, 181.0330

Fraudulent representations, 100.18

Incompetents, ownership by, 880.76

Limited partnership, offer and sale, 179.08

Minors, ownership by, 880.75

Public service corporations, Ch. 184

Retention of decedent's, 881.05

Spendthrifts, ownership by, 880.76

Transfer, from joint tenants, 182.24

Transfers on death, 854.11

Security registration, 705.21 to 705.31

Written instruments generally, 705.20

Transfers to minors, 880.61 to 880.72

Trust fund investments:

Eligible for, Ch. 219

Prudent person rule, 881.01

Trusts:

Registration in nominee, 701.19 (6)

With state treasurer, 14.58 (13)

SECURITIES 2. Commercial Code Provisions 2. Commercial Code Provisions
Generally, Ch. 408

Acquisition of security or financial asset, 408.104

Adverse claims:

Intermediary:

Assertion of claim against, 408.502

Liability exception, 408.115

Notice of, 408.105

Protected purchasers free from, 408.302 (2)

Purchaser of entitlement from entitlement holder, 408.510

Applicability of chapter:

Choice of law, 408.110

Rules for determining status under chapter:

Acquisition of security or financial asset, 408.104

Control, 408.106

Whether obligations are securities or financial assets, 408.103

Attachment, 408.112

Authenticating trustee, duty of, 408.407

Broker, see Intermediaries, under this subhead

Certificated securities:

Completion or alteration, 408.206

Evidentiary rules, regarding, 408.114

Issue and issuers, see Issue and issuers, under this subhead

Unauthorized signature on, 408.205

Clearing corporation rules, 408.111

Cooperatives, applicability of chapter 408, 185.25

Creditors' rights, effect of legal process, 408.112

Defenses and defects, 408.202, 408.203

Definitions, 408.102

Endorsement, 408.304

Assurance of effectiveness, 408.402

Effectiveness, 408.107

Guarantee of, effect, 408.306

Entitlement order:

Duty of intermediary to comply with, 408.507

Effectiveness, 408.107

Housing and economic development authority notes and bonds, 234.08 (4)

Instructions, 408.305

Assurance of effectiveness, 408.402

Demand that issuer not register transfer, 408.403

Effectiveness 408.107

Guarantee of, effect, 408.306

Intermediary:

Adverse claims:

Assertion of claim, 408.502

Liability exception, 408.115

Duties:

Changing entitlement holder's position to other form of security holding, 408.508

Distributions and payments, 408.505

Entitlement orders, compliance with, 408.507

Exercise of rights as directed by entitlement holder, 408.506, 408.509

Financial assets, maintain, 408.504

Manner of performance of duties, 408.509

Other statutory duties, 408.509

Property interest of entitlement holder in asset held by, 408.503

Purchaser for value, when, 408.116

Securities account, acquisition of securities entitlement from intermediary, 408.501

Issue and issuers:

Certificates:

Incomplete or altered, 408.206

Unauthorized signature on, effect, 408.205