Chapter 78
Investment Securities

Sections

78.1010
Short title Section
78.1020
Definitions and index of definitions Section
78.1030
Rules for determining whether certain obligations and interests are securities or financial assets Section
78.1040
Acquisition of security or financial asset or interest therein Section
78.1050
Notice of adverse claim Section
78.1060
Control Section
78.1070
Whether indorsement, instruction or entitlement order is effective Section
78.1080
Warranties in direct holding Section
78.1090
Warranties in indirect holding Section
78.1100
Applicability Section
78.1110
Clearing corporation rules Section
78.1120
Creditor’s legal process Section
78.1130
Statute of frauds inapplicable Section
78.1140
Evidentiary rules concerning certificated securities Section
78.1150
Securities intermediary and others not liable to adverse claimant Section
78.1160
Securities intermediary as purchaser for value Section
78.2010
“Issuer Section
78.2020
Terms of security Section
78.2030
Staleness as notice of defects or defenses Section
78.2040
Effect of issuer’s restriction on transfer Section
78.2050
Effect of unauthorized signature on security certificate Section
78.2060
Completion or alteration of security certificate Section
78.2070
Rights of issuer with respect to registered owners Section
78.2080
Effect of signature of authenticating trustee, registrar or transfer agent Section
78.2090
Issuer’s lien Section
78.2100
Overissue Section
78.3010
Delivery Section
78.3020
Rights of purchaser Section
78.3030
“Protected purchaser Section
78.3040
Indorsement Section
78.3050
Instruction Section
78.3060
Effect of guaranteeing signature, indorsement or instruction Section
78.3070
Purchaser’s rights to requisites for registration of transfer Section
78.4010
Duty of issuer to register transfer Section
78.4020
Assurance that indorsement or instruction is effective Section
78.4030
Demand that issuer not register transfer Section
78.4040
Wrongful registration Section
78.4050
Replacement of lost, destroyed or wrongfully taken security certificate Section
78.4060
Obligation to notify issuer of lost, destroyed or wrongfully taken security certificate Section
78.4070
Authenticating trustee, transfer agent and registrar Section
78.5010
Securities account Section
78.5020
Assertion of adverse claim against entitlement holder Section
78.5030
Property interest of entitlement holder in financial asset held by securities intermediary Section
78.5040
Duty of securities intermediary to maintain financial asset Section
78.5050
Duty of securities intermediary with respect to payments and distributions Section
78.5060
Duty of securities intermediary to exercise rights as directed by entitlement holder Section
78.5070
Duty of securities intermediary to comply with entitlement order Section
78.5080
Duty of securities intermediary to change entitlement holder’s position to other form of security holding Section
78.5090
Specification of duties of securities intermediary by other statute or regulation Section
78.5100
Rights of purchaser of security entitlement from entitlement holder Section
78.5110
Priority among security interests and entitlement holders Section
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