SECURITIES
Commercial Code, investment securities, see
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General Index
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9,001–9,100 of 24,135 entries · 211 printed pages
Printed page 78, column 1
SECURITIES
COMMERCIAL CODE
SECURITIES
Commercial paper, registration, exempt, 59.025, 59.045
SECURITIES
Commodities contracts, application of laws, 645.320
SECURITIES
Condominiums, offered for sale as, filings, 100.660
SECURITIES
Confidential information
SECURITIES
(Generally), 705.137, 705.139
SECURITIES
Financial exploitation of vulnerable persons, records provided to law enforcement, 59.505
SECURITIES
Investigations, generally, 59.245
SECURITIES
Conservatorships
SECURITIES
Broker-dealers, salespersons, mortgage brokers, investment advisers, 59.225
SECURITIES
Sale, registration, exemption, 59.035
SECURITIES
Construction and interpretation, see Statutes, this topic
See STATUTES
SECURITIES
Contracts
SECURITIES
Fictitious, 59.730
SECURITIES
Forbidden, 59.740, 59.750
SECURITIES
Form, filing, 59.085
SECURITIES
Control, defined, 59.015
SECURITIES
Cooperative corporations
SECURITIES
Perfected security interest; equity, capital credits, or certain accounts, 62.235
SECURITIES
Registration exemptions, 59.025
SECURITIES
Costs and disbursements
SECURITIES
Illegal sales, 59.115
SECURITIES
Liquidation, broker-dealers, mortgage brokers, investment advisers, 59.265
SECURITIES
Purchase violations, 59.127
SECURITIES
Receiverships, 59.265
SECURITIES
Violations of law, 59.255, 59.331
SECURITIES
County, city, village, district securities, registration, exempt, 59.025, 59.045
SECURITIES
Credit union securities, registration, exempt, 59.025, 59.045
SECURITIES
Crimes and offenses
SECURITIES
Attorney General, enforcement powers, 59.331
SECURITIES
Financial exploitation of vulnerable persons, see
SECURITIES
Financial exploitation of vulnerable per-
SECURITIES
sons, this topic
SECURITIES
Fraud, see Fraud, this topic
See FRAUD
SECURITIES
Government ethics statements, 244.110, 244.355
SECURITIES
Investigations, generally, 59.245, 59.315, 59.331
SECURITIES
Penalties, 59.991
SECURITIES
Venue, 131.315
SECURITIES
Customer
SECURITIES
Insolvent broker, receipt of securities, 59.790
SECURITIES
Pledge or sale by broker-dealer, improper, 59.800
SECURITIES
Statement of purchase or sale to, 59.810
SECURITIES
Trading against, 59.780
SECURITIES
Damages
SECURITIES
Illegal sale, 59.115
SECURITIES
Seller, recovery, 59.127, 59.131, 59.137, 59.255
SECURITIES
Violations of law, 59.115, 59.127, 59.137, 59.255, 59.331
SECURITIES
Dealers, see Broker-dealers, this topic
See BROKER-DEALERS
SECURITIES
Death
SECURITIES
Passage of ownership, securities registered in beneficiary form, 59.565
SECURITIES
Probate, personal representatives, 114.305, 114.375
SECURITIES
Transfer on death registration, see Transfer on death registration, this topic
See TRANSFER ON DEATH REGISTRATION
SECURITIES
Deceit, defined, 59.015
SECURITIES
Definitions, 59.015, 59.710
SECURITIES
Devises, additional, substituted, ademption, 112.385
SECURITIES
Educational organizations, registration exemption, 59.025
SECURITIES
Employee benefit plan securities, exemption, 59.025, 59.045
SECURITIES
Enforcement authority
SECURITIES
Attorney General, 59.331
SECURITIES
Director of DCBS, 59.235 et seq.
SECURITIES
Escrow deposits, registration condition, as, 59.085
SECURITIES
Evidence, see EVIDENCE
See EVIDENCE
SECURITIES
Exchange plans, hearings, approval, director, 59.095
SECURITIES
Exemptions from licensing
SECURITIES
(Generally), 59.025
SECURITIES
Pleading, proof, 59.045, 59.275
SECURITIES
Registration, 59.025, 59.035, 59.045
SECURITIES
Securities, 59.025, 59.035, 59.045
SECURITIES
Transactions, 59.035, 59.045, 59.720
SECURITIES
Farm loan association securities, registration, exempt, 59.025, 59.045
SECURITIES
Federal covered securities
SECURITIES
Defined, 59.015
SECURITIES
Fees, notice filings, 59.049
SECURITIES
Registration exemption, 59.049
SECURITIES
Sale, registered security requirement, 59.055
SECURITIES
Federal law and regulations, references to, construction, 59.051
SECURITIES
Fees
SECURITIES
Broker-dealers, salespersons, mortgage brokers, investment advisers, 59.175
SECURITIES
Effect, 59.355
SECURITIES
Examination, 59.175
SECURITIES
Federal covered securities, notice filings, 59.049
SECURITIES
Process, notices, demands, service, 59.155
SECURITIES
Records, copies, 59.325
SECURITIES
Registration, 59.065, 59.070, 59.075, 59.175
SECURITIES
Rules, 59.049, 59.065
SECURITIES
Fiduciaries
SECURITIES
Deposits, transfers, clearing corporations, 128.100
SECURITIES
Sale, registration, exemption, 59.035
SECURITIES
Financial exploitation of vulnerable persons
SECURITIES
Definitions, 59.480
SECURITIES
Delay of disbursements, 59.495
SECURITIES
Liability limitation, 59.500
SECURITIES
Notifications to third parties, 59.490
SECURITIES
Penalties, 59.991, 59.995
SECURITIES
Records, providing, 59.505
SECURITIES
Required reporting, 59.485
SECURITIES
Financial institution powers, generally, 708A.005, 708A.170
SECURITIES
Financial statements or reports
SECURITIES
Filing, 59.195