CHAPTER 408
UNIFORM COMMERCIAL CODE — INVESTMENT SECURITIES
SUBCHAPTER I
GENERAL MATTERS
408.103 Rules for determining whether certain obligations and interests are securities or financial assets.
408.104 Acquisition of security or financial asset or interest therein.
408.105 Notice of adverse claim.
408.107 Whether endorsement, instruction or entitlement order is effective.
408.108 Warranties in direct holding.
408.109 Warranties in indirect holding.
408.110 Applicability; choice of law.
408.111 Clearing corporation rules.
408.112 Creditor's legal process.
408.113 Statute of frauds inapplicable.
408.114 Evidentiary rules concerning certificated securities.
408.115 Securities intermediary and others not liable to adverse claimant.
408.116 Securities intermediary as purchaser for value.
SUBCHAPTER II
ISSUE AND ISSUER
408.202 Issuer's responsibility and defenses; notice of defect or defense.
408.203 Staleness as notice of defect or defense.
408.204 Effect of issuer's restriction on transfer.
408.205 Effect of unauthorized signature on security certificate.
408.206 Completion or alteration of security certificate.
408.207 Rights and duties of issuer with respect to registered owners.
408.208 Effect of signature of authenticating trustee, registrar or transfer agent.
SUBCHAPTER III
TRANSFER OF CERTIFICATED AND
UNCERTIFICATED SECURITIES
408.302 Rights of purchaser.
408.303 Protected purchaser.
408.306 Effect of guaranteeing signature, endorsement or instruction.
408.307 Purchaser's right to requisites for registration of transfer.
SUBCHAPTER IV
REGISTRATION
408.401 Duty of issuer to register transfer.
408.402 Assurance that endorsement or instruction is effective.
408.403 Demand that issuer not register transfer.
408.404 Wrongful registration.
408.405 Replacement of lost, destroyed or wrongfully taken security certificate.
408.406 Obligation to notify issuer of lost, destroyed or wrongfully taken security certificate.
408.407 Authenticating trustee, transfer agent and registrar.
SUBCHAPTER V
SECURITY ENTITLEMENTS
408.501 Securities account; acquisition of security entitlement from securities intermediary.
408.502 Assertion of adverse claim against entitlement holder.
408.503 Property interest of entitlement holder in financial asset held by securities intermediary.
408.504 Duty of securities intermediary to maintain financial asset.
408.505 Duty of securities intermediary with respect to payments and distributions.
408.506 Duty of securities intermediary to exercise rights as directed by entitlement holder.
408.507 Duty of securities intermediary to comply with entitlement order.
