ARTICLE 8 - INVESTMENT SECURITIES
- Part 1 - Short Title and General Matters
- 104.8101 - Short title.
- 104.8102 - Definitions.
- 104.8103 - Rules for determining whether certain obligations and interests are securities or financial assets.
- 104.8104 - Acquisition of security or financial asset or interest therein.
- 104.8105 - Notice of adverse claim.
- 104.8106 - Control.
- 104.8107 - Whether endorsement, instruction or entitlement order is effective.
- 104.8108 - Warranties in direct holding.
- 104.8109 - Warranties in indirect holding.
- 104.8110 - Applicability; choice of law.
- 104.8111 - Rules of clearing corporation.
- 104.8112 - Creditor’s legal process.
- 104.8113 - Statute of frauds inapplicable.
- 104.8114 - Evidentiary rules concerning certificated securities.
- 104.8115 - Securities intermediary and others not liable to adverse claimant.
- Part 2 - Issue and Issuer
- 104.8201 - “Issuer.”
- 104.8202 - Issuer’s responsibility and defenses; notice of defect or defense.
- 104.8203 - Staleness as notice of defect or defense.
- 104.8204 - Effect of issuer’s restriction on transfer.
- 104.8205 - Effect of unauthorized signature on security certificate.
- 104.8206 - Completion or alteration of security certificate.
- 104.8207 - Rights and duties of issuer with respect to registered owners.
- 104.8208 - Effect of signature of authenticating trustee, registrar or transfer agent.
- 104.8209 - Issuer’s lien.
- 104.8210 - Overissue.
- Part 3 - Transfer of Certificated and Uncertificated Securities
- Part 4 - Registration
- 104.8401 - Duty of issuer to register transfer.
- 104.8402 - Assurance that endorsement or instruction is effective.
- 104.8403 - Demand that issuer not register transfer.
- 104.8404 - Wrongful registration.
- 104.8405 - Replacement of lost, destroyed or wrongfully taken security certificate.
- 104.8406 - Obligation to notify issuer of lost, destroyed or wrongfully taken security certificate.
- Part 5 - Security Entitlements
- 104.8501 - Securities account; acquisition of security entitlement from securities intermediary.
- 104.8502 - Assertion of adverse claim against entitlement holder.
- 104.8503 - Property interest of entitlement holder in financial asset held by securities intermediary.
- 104.8504 - Duty of securities intermediary to maintain financial asset.
- 104.8505 - Duty of securities intermediary with respect to payments and distributions.
- 104.8506 - Duty of securities intermediary to exercise rights as directed by entitlement holder.
- 104.8507 - Duty of securities intermediary to comply with entitlement order.
- 104.8508 - Duty of securities intermediary to change entitlement holder’s position to other form of security holding.
- 104.8509 - 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 holder.
- 104.8510 - Rights of purchaser of security entitlement from entitlement holder.
- 104.8511 - Priority among security interests and entitlement holders.