Chapter 8 - Investment Securities
- Part 1 - Short Title and General Matters
- § 4-8-101 - Short title.
- § 4-8-102 - Definitions.
- § 4-8-103 - Rules for determining whether certain obligations and interests are securities or financial assets.
- § 4-8-104 - Acquisition of security or financial asset or interest therein.
- § 4-8-105 - Notice of adverse claim.
- § 4-8-106 - Control.
- § 4-8-107 - Whether indorsement, instruction, or entitlement order is effective.
- § 4-8-108 - Warranties in direct holding.
- § 4-8-109 - Warranties in indirect holding.
- § 4-8-110 - Applicability -- Choice of law.
- § 4-8-111 - Clearing corporation rules.
- § 4-8-112 - Creditor's legal process.
- § 4-8-113 - Statute of frauds inapplicable.
- § 4-8-114 - Evidentiary rules concerning certificated securities.
- § 4-8-115 - Securities intermediary and others not liable to adverse claimant.
- § 4-8-116 - Securities intermediary as purchaser for value.
- Part 2 - Issue and Issuer
- § 4-8-201 - Issuer.
- § 4-8-202 - Issuer's responsibility and defenses -- Notice of defect or defense.
- § 4-8-203 - Staleness as notice of defect or defense.
- § 4-8-204 - Effect of issuer's restriction on transfer.
- § 4-8-205 - Effect of unauthorized signature on security certificate.
- § 4-8-206 - Completion or alteration of security certificate.
- § 4-8-207 - Rights and duties of issuer with respect to registered owners.
- § 4-8-208 - Effect of signature of authenticating trustee, registrar, or transfer agent.
- § 4-8-209 - Issuer's lien.
- § 4-8-210 - Overissue.
- Part 3 - Transfer of Certificated and Uncertificated Securities
- Part 4 - Registration
- § 4-8-401 - Duty of issuer to register transfer.
- § 4-8-402 - Assurance that indorsement or instruction is effective.
- § 4-8-403 - Demand that issuer not register transfer.
- § 4-8-404 - Wrongful registration.
- § 4-8-405 - Replacement of lost, destroyed, or wrongfully taken security certificate.
- § 4-8-406 - Obligation to notify issuer of lost, destroyed, or wrongfully taken security certificate.
- § 4-8-407 - Authenticating trustee, transfer agent, and registrar.
- Part 5 - Security Entitlements
- § 4-8-501 - Securities account -- Acquisition of security entitlement from securities intermediary.
- § 4-8-502 - Assertion of adverse claim against entitlement holder.
- § 4-8-503 - Property interest of entitlement holder in financial asset held by securities intermediary.
- § 4-8-504 - Duty of securities intermediary to maintain financial asset.
- § 4-8-505 - Duty of securities intermediary with respect to payments and distributions.
- § 4-8-506 - Duty of securities intermediary to exercise rights as directed by entitlement holder.
- § 4-8-507 - Duty of securities intermediary to comply with entitlement order.
- § 4-8-508 - Duty of securities intermediary to change entitlement holder's position to other form of security holding.
- § 4-8-509 - Specification of duties of securities intermediary by other statute or regulation -- Manner of performance of duties of securities intermediary and exercise of rights of entitlement hol
- § 4-8-510 - Rights of purchaser of security entitlement from entitlement holder.
- § 4-8-511 - Priority among security interests and entitlement holders.
- Part 6 - Applicability