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CHAPTER 57A-8

INVESTMENT SECURITIES

PART 1. SHORT TITLE AND GENERAL MATTERS.

57A-8-101      Short title.
57A-8-102      Definitions.
57A-8-103      Rules for determining whether certain obligations and interests are securities or financial assets.
57A-8-104      Acquisition of security or financial asset or interest therein.
57A-8-105      Notice of adverse claim.
57A-8-106      Control.
57A-8-107      Whether endorsement, instruction, or entitlement order is effective.
57A-8-108      Warranties in direct holding.
57A-8-109      Warranties in indirect holding.
57A-8-110      Applicability--Choice of law.
57A-8-111      Clearing corporation rules.
57A-8-112      Creditor's legal process.
57A-8-113      Statute of frauds inapplicable.
57A-8-114      Evidentiary rules concerning certificated securities.
57A-8-115      Securities intermediary and others not liable to adverse claimant.
57A-8-116      Securities intermediary as purchaser for value.

PART 2. ISSUE AND ISSUER.

57A-8-201      Issuer.
57A-8-202      Issuer's responsibility and defenses; notice of defect or defense.
57A-8-203      Staleness as notice of defect or defense.
57A-8-204      Effect of issuer's restriction on transfer.
57A-8-205      Effect of unauthorized signature on security certificate.
57A-8-206      Completion or alteration of security certificate.
57A-8-207      Rights and duties of issuer with respect to registered owners.
57A-8-208      Effect of signature of authenticating trustee, registrar, or transfer agent.
57A-8-209      Issuer's lien.
57A-8-210      Overissue.
PART 3. TRANSFER OF CERTIFICATED AND UNCERTIFICATED SECURITIES.

57A-8-301      Delivery.
57A-8-302      Rights of purchaser.
57A-8-303      Protected purchaser.
57A-8-304      Indorsement.
57A-8-305      Instruction.
57A-8-306      Effect of guaranteeing signature, indorsement, or instruction.
57A-8-307      Purchaser's right to requisites for registration of transfer.
57A-8-308 to 57A-8-321. Repealed.
PART 4. REGISTRATION.

57A-8-401      Duty of issuer to register transfer.
57A-8-402      Assurance that indorsement or instruction is effective.
57A-8-403      Demand that issuer not register transfer.
57A-8-404      Wrongful registration.
57A-8-405      Replacement of lost, destroyed, or wrongfully taken security certificate.
57A-8-406      Obligation to notify issuer of lost, destroyed, or wrongfully taken security certificate.
57A-8-407      Authenticating trustee, transfer agent, and registrar.
57A-8-408      Repealed.
PART 5. SECURITY ENTITLEMENTS.

57A-8-501      Securities account; acquisition of security entitlement from securities intermediary.
57A-8-502      Assertion of adverse claim against entitlement holder.
57A-8-503      Property interest of entitlement holder in financial asset held by securities intermediary.
57A-8-504      Duty of securities intermediary to maintain financial asset.
57A-8-505      Duty of securities intermediary with respect to payments and distributions.
57A-8-506      Duty of securities intermediary to exercise rights as directed by entitlement holder.
57A-8-507      Duty of securities intermediary to comply with entitlement order.
57A-8-508      Duty of securities intermediary to change entitlement holder's position to other form of security holding.
57A-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.
57A-8-510      Rights of purchaser of security entitlement from entitlement holder.
57A-8-511      Priority among security interests and entitlement holders.
PART 6. TRANSITION PROVISIONS FOR REVISED ARTICLE 8 AND CONFORMING
AMENDMENTS TO ARTICLES 1, 3, 4, 5, 9, AND 10.
57A-8-601, 57A-8-602.      Reserved.
57A-8-603      Savings clause.


Back to Title 57A