IC 26-1-8.1 – Investment Securities | Midpage

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Indiana Code

Chapter 8.1

IC 26-1-8.1

Investment Securities

0.1Effect of enactment of chapter 0.3Perfection of certain security interests; continuation of perfection 101Short title 102Definitions and index of definitions; principles of construction and interpretation; characterization of person, business, or transaction 103Classification as security or financial asset 104Acquisition of a security or financial asset 105Notice of adverse claim 106Control by purchaser; certificated security, uncertificated security, or security entitlement; agreement by issuer or securities intermediary to comply with purchaser's orders or instructions 107Effectiveness of endorsement, instruction, or entitlement order 108Warranties upon purchase or transfer of security 109Warranties made by and to a securities intermediary 110Governing local law; determination of jurisdiction of issuer or securities intermediary 111Applicability of rules adopted by clearing corporations 112Creditor access to debtor's interest in a security 113Enforceability of contracts for sale or purchase of a security 114Special rules in actions against issuers of a certificated security 115Liability of securities intermediary, broker, or other agent or bailee 116Determination of securities intermediary as purchaser for value 201"Issuer" defined 202Terms of security; rules on validity; issuer's defenses; cancellation of contracts 203Notice of defects 204Restrictions on transfer 205Effect of unauthorized signature or certificate 206Enforceability of incomplete or incorrect certificate 207Registered owner to exercise all rights and powers of owner absent appropriate notice of transfer 208Warranties by security certificate authenticating signatory 209Issuer's lien 210Overissue of security; refund in the event of unavailability of security 301Delivery of security 302Rights acquired by purchaser 303"Protected purchaser" defined; acquisition of interest free of adverse claims 304Endorsement of securities 305Incomplete instructions; obligations imposed on person initiating instructions 306Warranties by guarantor 307Duties of transferor of security 401Issuer's duty to register transfer 402Issuer's right to assurances 403Demand that transfer not be registered; notice; contents; liability 404Issuer liability for wrongful registration of transfer 405Issuance of new certificates; protected purchasers 406Failure to notify issuer of lost, destroyed, or wrongfully taken certificates 407Obligations of agents acting on behalf of issuer 501Acquisition of security entitlements 502Adverse claims against person holding a security entitlement 503Property interests in financial assets; enforcement of property rights; purchasers for value 504Maintenance of financial assets by securities intermediary; exempted entity 505Duty of securities intermediary to obtain and pay distributions on financial assets 506Duty of securities intermediary to exercise rights as directed by entitlement holder 507Duty of securities intermediary to comply with entitlement order; liability for wrongful transfer 508Duty of securities intermediary to act at direction of entitlement holder 509Standards for performance of duties by securities intermediary 510Purchaser for value of financial asset or security entitlement; adverse claims 511Priority of claims in financial asset