U.C.C. – ARTICLE 8 – INVESTMENT SECURITIES (1994)

PART 1. SHORT TITLE AND GENERAL MATTERS

• § 8-101. SHORT TITLE.
• § 8-102. DEFINITIONS.
• § 8-103. RULES FOR DETERMINING WHETHER CERTAIN OBLIGATIONS AND INTERESTS ARE SECURITIES OR FINANCIAL ASSETS.
• § 8-104. ACQUISITION OF SECURITY OR FINANCIAL ASSET OR INTEREST THEREIN.
• § 8-105. NOTICE OF ADVERSE CLAIM.
• § 8-106. CONTROL.
• § 8-107. WHETHER INDORSEMENT, INSTRUCTION, OR ENTITLEMENT ORDER IS EFFECTIVE.
• § 8-108. WARRANTIES IN DIRECT HOLDING.
• § 8-109. WARRANTIES IN INDIRECT HOLDING.
• § 8-110. APPLICABILITY; CHOICE OF LAW.
• § 8-111. CLEARING CORPORATION RULES.
• § 8-112. CREDITOR’S LEGAL PROCESS.
• § 8-113. STATUTE OF FRAUDS INAPPLICABLE.
• § 8-114. EVIDENTIARY RULES CONCERNING CERTIFICATED SECURITIES.
• § 8-115. SECURITIES INTERMEDIARY AND OTHERS NOT LIABLE TO ADVERSE CLAIMANT.
• § 8-116. SECURITIES INTERMEDIARY AS PURCHASER FOR VALUE.

 

PART 2. ISSUE AND ISSUER

• § 8-201. ISSUER.
• § 8-202. ISSUER’S RESPONSIBILITY AND DEFENSES; NOTICE OF DEFECT OR DEFENSE.
• § 8-203. STALENESS AS NOTICE OF DEFECT OR DEFENSE.
• § 8-204. EFFECT OF ISSUER’S RESTRICTION ON TRANSFER.
• § 8-205. EFFECT OF UNAUTHORIZED SIGNATURE ON SECURITY CERTIFICATE.
• § 8-206. COMPLETION OR ALTERATION OF SECURITY CERTIFICATE.
• § 8-207. RIGHTS AND DUTIES OF ISSUER WITH RESPECT TO REGISTERED OWNERS.
• § 8-208. EFFECT OF SIGNATURE OF AUTHENTICATING TRUSTEE, REGISTRAR, OR TRANSFER AGENT.
• § 8-209. ISSUER’S LIEN.
• § 8-210. OVERISSUE.

PART 3. TRANSFER OF CERTIFICATED AND UNCERTIFICATED SECURITIES

• § 8-301. DELIVERY.
• § 8-302. RIGHTS OF PURCHASER.
• § 8-303. PROTECTED PURCHASER.
• § 8-304. INDORSEMENT.
• § 8-305. INSTRUCTION.
• § 8-306. EFFECT OF GUARANTEEING SIGNATURE, INDORSEMENT, OR INSTRUCTION.
• § 8-307. PURCHASER’S RIGHT TO REQUISITES FOR REGISTRATION OF TRANSFER.

PART 4. REGISTRATION

• § 8-401. DUTY OF ISSUER TO REGISTER TRANSFER.
• § 8-402. ASSURANCE THAT INDORSEMENT OR INSTRUCTION IS EFFECTIVE.
• § 8-403. DEMAND THAT ISSUER NOT REGISTER TRANSFER.
• § 8-404. WRONGFUL REGISTRATION.
• § 8-405. REPLACEMENT OF LOST, DESTROYED, OR WRONGFULLY TAKEN SECURITY CERTIFICATE.
• § 8-406. OBLIGATION TO NOTIFY ISSUER OF LOST, DESTROYED, OR WRONGFULLY TAKEN SECURITY CERTIFICATE.
• § 8-407. AUTHENTICATING TRUSTEE, TRANSFER AGENT, AND REGISTRAR.

PART 5. SECURITY ENTITLEMENTS

• § 8-501. SECURITIES ACCOUNT; ACQUISITION OF SECURITY ENTITLEMENT FROM SECURITIES INTERMEDIARY.
• § 8-502. ASSERTION OF ADVERSE CLAIM AGAINST ENTITLEMENT HOLDER.
• § 8-503. PROPERTY INTEREST OF ENTITLEMENT HOLDER IN FINANCIAL ASSET HELD BY SECURITIES INTERMEDIARY.
• § 8-504. DUTY OF SECURITIES INTERMEDIARY TO MAINTAIN FINANCIAL ASSET.
• § 8-505. DUTY OF SECURITIES INTERMEDIARY WITH RESPECT TO PAYMENTS AND DISTRIBUTIONS.
• § 8-506. DUTY OF SECURITIES INTERMEDIARY TO EXERCISE RIGHTS AS DIRECTED BY ENTITLEMENT HOLDER.
• § 8-507. DUTY OF SECURITIES INTERMEDIARY TO COMPLY WITH ENTITLEMENT ORDER.
• § 8-508. DUTY OF SECURITIES INTERMEDIARY TO CHANGE ENTITLEMENT HOLDER’S POSITION TO OTHER FORM OF SECURITY HOLDING.
• § 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 HOLDER.
• § 8-510. RIGHTS OF PURCHASER OF SECURITY ENTITLEMENT FROM ENTITLEMENT HOLDER.
• § 8-511. PRIORITY AMONG SECURITY INTERESTS AND ENTITLEMENT HOLDERS.

PART 6. TRANSITION PROVISIONS FOR REVISED ARTICLE 8 AND CONFORMING AMENDMENTS TO ARTICLES 1, 4, 5, 9, AND 10

• § 8-601. EFFECTIVE DATE.
• § 8-602. REPEALS.
• § 8-603. SAVINGS CLAUSE.