Uniform commercial code — investment securities.

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  2. Wisconsin Statutes & Annotations
  3. Uniform commercial code — investment securities.

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Section
408.101

Short title.

Section
408.102

Definitions.

Section
408.103

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

Section
408.104

Acquisition of security or financial asset or interest therein.

Section
408.105

Notice of adverse claim.

Section
408.106

Control.

Section
408.107

Whether endorsement, instruction or entitlement order is effective.

Section
408.108

Warranties in direct holding.

Section
408.109

Warranties in indirect holding.

Section
408.110

Applicability; choice of law.

Section
408.111

Clearing corporation rules.

Section
408.112

Creditor's legal process.

Section
408.113

Statute of frauds inapplicable.

Section
408.114

Evidentiary rules concerning certificated securities.

Section
408.115

Securities intermediary and others not liable to adverse claimant.

Section
408.116

Securities intermediary as purchaser for value.

Section
408.201

Issuer.

Section
408.202

Issuer's responsibility and defenses; notice of defect or defense.

Section
408.203

Staleness as notice of defect or defense.

Section
408.204

Effect of issuer's restriction on transfer.

Section
408.205

Effect of unauthorized signature on security certificate.

Section
408.206

Completion or alteration of security certificate.

Section
408.207

Rights and duties of issuer with respect to registered owners.

Section
408.208

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

Section
408.209

Issuer's lien.

Section
408.210

Overissue.

Section
408.301

Delivery.

Section
408.302

Rights of purchaser.

Section
408.303

Protected purchaser.

Section
408.304

Endorsement.

Section
408.305

Instruction.

Section
408.306

Effect of guaranteeing signature, endorsement or instruction.

Section
408.307

Purchaser's right to requisites for registration of transfer.

Section
408.401

Duty of issuer to register transfer.

Section
408.402

Assurance that endorsement or instruction is effective.

Section
408.403

Demand that issuer not register transfer.

Section
408.404

Wrongful registration.

Section
408.405

Replacement of lost, destroyed or wrongfully taken security certificate.

Section
408.406

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

Section
408.407

Authenticating trustee, transfer agent and registrar.

Section
408.501

Securities account; acquisition of security entitlement from securities intermediary.

Section
408.502

Assertion of adverse claim against entitlement holder.

Section
408.503

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

Section
408.504

Duty of securities intermediary to maintain financial asset.

Section
408.505

Duty of securities intermediary with respect to payments and distributions.

Section
408.506

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

Section
408.507

Duty of securities intermediary to comply with entitlement order.

Section
408.508

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

Section
408.509

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
408.510

Rights of purchaser of security entitlement from entitlement holder.

Section
408.511

Priority among security interests and entitlement holders.

Section
408.603

Saving provision.