CHAPTER 57A-8

INVESTMENT SECURITIES

57A-8-101    Short title.

57A-8-102    Definitions and index of 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.

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.

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    57A-8-308 to 57A-8-321. Repealed by SL 1998, ch 284, § 1

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    57A-8-408. Repealed by SL 1998, ch 284, § 1

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.

57A-8-601    57A-8-601, 57A-8-602. Reserved

57A-8-603    Savings clause.