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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
Withdrawal of, 551.409
State delinquent support collection requirements:
Disclosure of financial records, 224.40
Lien and levy on accounts, 49.854
Records matching program, 49.853
Civil enforcement, penalties, 551.603
Civil liabilities, 551.509
Criminal liability, 551.508
Definitions, 551.102
Electronic records and signatures, 551.105
Federal statutes and agencies, references to, 551.103, 551.104
Franchise investment, see Franchise Investment Law
Fraudulent practices and liability:
Administrative enforcement of chapter, penalties, 551.604
Civil enforcement, penalties, 551.603
Civil liability, 551.509
Bars to civil action, 551.511
Criminal penalties, 551.508
Evidentiary burden, 551.503
General fraud, 551.501
Investment advice, prohibited conduct, 551.502
Misleading filings, 551.505
Misrepresentations concerning registration, exemption, 551.506
Qualified immunity, 551.507
Insurance:
Corporations, regulation of securities, 611.31
Fraternals, regulation of securities, 614.31
Service corporations, regulation of securities, 613.31
Investment advisers:
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