Investment Securities

  1. Law
  2. Rhode Island General Laws
  3. Uniform Commercial Code
  4. Investment Securities

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Section
6A-8-101

Short title.

Section
6A-8-102

Definitions.

Section
6A-8-103

Rules for determining whether certain obligations and interests are securities or financial assets.

Section
6A-8-104

Acquisition of security or financial asset or interest therein.

Section
6A-8-105

Notice of adverse claim.

Section
6A-8-106

Control.

Section
6A-8-107

Whether indorsement, instruction, or entitlement order is effective.

Section
6A-8-108

Warranties in direct holding.

Section
6A-8-109

Warranties in indirect holding.

Section
6A-8-110

Applicability - Choice of law.

Section
6A-8-111

Clearing corporation rules.

Section
6A-8-112

Creditor's legal process.

Section
6A-8-113

Statute of frauds inapplicable.

Section
6A-8-114

Evidentiary rules concerning certificated securities.

Section
6A-8-115

Securities intermediary and others not liable to adverse claimant.

Section
6A-8-116

Securities intermediary as purchaser for value.

Section
6A-8-201

Issuer.

Section
6A-8-202

Issuer's responsibility and defenses - Notice of defect or defense.

Section
6A-8-203

Staleness as notice of defect or defense.

Section
6A-8-204

Effect of issuer's restriction on transfer.

Section
6A-8-205

Effect of unauthorized signature on security certificate.

Section
6A-8-206

Completion of alteration of security certificate.

Section
6A-8-207

Rights and duties of issuer with respect to registered owners.

Section
6A-8-208

Effect of signature of authenticating trustee, registrar, or transfer agent.

Section
6A-8-209

Issuer's lien.

Section
6A-8-210

Overissue.

Section
6A-8-301

Delivery.

Section
6A-8-302

Rights of purchaser.

Section
6A-8-303

Protected purchaser.

Section
6A-8-304

Indorsement.

Section
6A-8-305

Instruction.

Section
6A-8-306

Effect of guaranteeing signature, indorsement, or instruction.

Section
6A-8-307

Purchaser's right to requisites for registration of transfer.

Section
6A-8-401

Duty of issuer to register transfer.

Section
6A-8-402

Assurance that indorsement or instruction is effective.

Section
6A-8-403

Demand that issuer not register transfer.

Section
6A-8-404

Wrongful registration.

Section
6A-8-405

Replacement of lost, destroyed, or wrongfully taken security certificate.

Section
6A-8-406

Obligation to notify issuer of lost, destroyed, or wrongfully taken security certificate.

Section
6A-8-407

Authenticating trustee, transfer agent, and registrar.

Section
6A-8-501

Securities account - Acquisition of security entitlement from securities intermediary.

Section
6A-8-502

Assertion of adverse claim against entitlement holder.

Section
6A-8-503

Property interest of entitlement holder in financial asset held by securities intermediary.

Section
6A-8-504

Duty of securities intermediary to maintain financial asset.

Section
6A-8-505

Duty of securities intermediary with respect to payments and distributions.

Section
6A-8-506

Duty of securities intermediary to exercise rights as directed by entitlement holder.

Section
6A-8-507

Duty of securities intermediary to comply with entitlement order.

Section
6A-8-508

Duty of securities intermediary to change entitlement holder's position to other form of security holding.

Section
6A-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.

Section
6A-8-510

Rights of purchaser of security entitlement from entitlement holder.

Section
6A-8-511

Priority among security interests and entitlement holders.

Section
6A-8-601

Savings clause.

Section
6A-8-602

Official comments.