2023 Statutes Index

Liability exception, 408.115

Notice of, 408.105

Protected purchasers free from, 408.302 (2)

Purchaser of entitlement from entitlement holder, 408.510

Applicability of chapter:

Choice of law, 408.110

Rules for determining status under chapter:

Acquisition of security or financial asset, 408.104

Control, 408.106

Whether obligations are securities or financial assets, 408.103

Attachment, 408.112

Authenticating trustee, duty of, 408.407

Broker, see Intermediaries, under this subhead

Certificated securities:

Completion or alteration, 408.206

Evidentiary rules, regarding, 408.114

Issue and issuers, see Issue and issuers, under this subhead

Unauthorized signature on, 408.205

Clearing corporation rules, 408.111

Cooperatives, applicability of chapter 408, 185.25

Creditors' rights, effect of legal process, 408.112

Defenses and defects, 408.202, 408.203

Definitions, 408.102

Endorsement, 408.304

Assurance of effectiveness, 408.402

Effectiveness, 408.107

Guarantee of, effect, 408.306

Entitlement order:

Duty of intermediary to comply with, 408.507

Effectiveness, 408.107

Housing and economic development authority notes and bonds, 234.08 (4)

Instructions, 408.305

Assurance of effectiveness, 408.402

Demand that issuer not register transfer, 408.403

Effectiveness, 408.107

Guarantee of, effect, 408.306

Intermediary:

Adverse claims:

Assertion of claim, 408.502

Liability exception, 408.115

Duties:

Changing entitlement holder's position to other form of security holding, 408.508

Distributions and payments, 408.505

Entitlement orders, compliance with, 408.507

Exercise of rights as directed by entitlement holder, 408.506, 408.509

Financial assets, maintain, 408.504

Manner of performance of duties, 408.509

Other statutory duties, 408.509

Property interest of entitlement holder in asset held by, 408.503

Purchaser for value, when, 408.116

Securities account, acquisition of securities entitlement from intermediary, 408.501

Issue and issuers:

Certificates:

Incomplete or altered, 408.206

Unauthorized signature on, effect, 408.205

Issuer defined, 408.201

Lien of, 408.209

Lost, destroyed or stolen certificated securities, replacement, 408.405

Notice to issuer, requirement, 408.406

Overissue, 408.210

Registration, see Registration of transfers, under this subhead

Responsibilities and defenses, 408.202

Restrictions on transfer by, effect, 408.204

Rights and duties respecting registered owners, 408.207

Signature by authenticating trustee, registrar or transfer agent, effect, 408.208

Law governing, 408.110

Levy, 408.112

Lost, destroyed or stolen certificated securities:

Notice to issuer, requirement, 408.406

Replacement, 408.405

Notice:

Adverse claims, 408.105

Defect or defense, 408.202, 408.203

Overissue, effect of, 408.210

Registered owners, rights and liabilities, 408.207

Registrar:

Duty of, 408.407

Signature by effect, 408.208

Registration of transfer:

Authenticating trustee, transfer agent or registrar, 408.407

Demand that issuer not register transfer, duty, 408.403

Duty of issuer, 408.401

Endorsement, see Endorsement, under this subhead

Wrongful registration, 408.404

Securities account, acquisition of securities entitlement from intermediary, 408.501

Security interests, see also Commercial Code—10. Secured Transactions

Priority between security interests and entitlement holders, 408.511

Saving provision, 408.603

Short title, 408.101