Rhode Island General Laws
Title 6A - Uniform Commercial Code
Chapter 6A-8 - Investment Securities

Section 6A-8-103. - Rules for determining whether certain obligations and interests are securities or financial assets. - § 6A-8-103. Rules for determining whether certain obligations and interests...

Section 6A-8-104. - Acquisition of security or financial asset or interest therein. - § 6A-8-104. Acquisition of security or financial asset or interest...

Section 6A-8-105. - Notice of adverse claim. - § 6A-8-105. Notice of adverse claim. (a) A person has...

Section 6A-8-106. - Control. - § 6A-8-106. Control. (a) A purchaser has “control” of a...

Section 6A-8-107. - Whether indorsement, instruction, or entitlement order is effective. - § 6A-8-107. Whether indorsement, instruction, or entitlement order is effective....

Section 6A-8-108. - Warranties in direct holding. - § 6A-8-108. Warranties in direct holding. (a) A person who...

Section 6A-8-109. - Warranties in indirect holding. - § 6A-8-109. Warranties in indirect holding. (a) A person who...

Section 6A-8-110. - Applicability — Choice of law. - § 6A-8-110. Applicability — Choice of law. (a) The local...

Section 6A-8-111. - Clearing corporation rules. - § 6A-8-111. Clearing corporation rules. A rule adopted by a...

Section 6A-8-112. - Creditor’s legal process. - § 6A-8-112. Creditor’s legal process. (a) The interest of a...

Section 6A-8-113. - Statute of frauds inapplicable. - § 6A-8-113. Statute of frauds inapplicable. A contract or modification...

Section 6A-8-114. - Evidentiary rules concerning certificated securities. - § 6A-8-114. Evidentiary rules concerning certificated securities. The following rules...

Section 6A-8-115. - Securities intermediary and others not liable to adverse claimant. - § 6A-8-115. Securities intermediary and others not liable to adverse...

Section 6A-8-116. - Securities intermediary as purchaser for value. - § 6A-8-116. Securities intermediary as purchaser for value. A securities...

Part 2 - Issue and Issuer

Section 6A-8-201. - Issuer. - § 6A-8-201. Issuer. (a) With respect to an obligation on...

Section 6A-8-202. - Issuer’s responsibility and defenses — Notice of defect or defense. - § 6A-8-202. Issuer’s responsibility and defenses — Notice of defect...

Section 6A-8-203. - Staleness as notice of defect or defense. - § 6A-8-203. Staleness as notice of defect or defense. After...

Section 6A-8-204. - Effect of issuer’s restriction on transfer. - § 6A-8-204. Effect of issuer’s restriction on transfer. A restriction...

Section 6A-8-205. - Effect of unauthorized signature on security certificate. - § 6A-8-205. Effect of unauthorized signature on security certificate. An...

Section 6A-8-206. - Completion of alteration of security certificate. - § 6A-8-206. Completion of alteration of security certificate. (a) If...

Section 6A-8-207. - Rights and duties of issuer with respect to registered owners. - § 6A-8-207. Rights and duties of issuer with respect to...

Section 6A-8-208. - Effect of signature of authenticating trustee, registrar, or transfer agent. - § 6A-8-208. Effect of signature of authenticating trustee, registrar, or...

Section 6A-8-209. - Issuer’s lien. - § 6A-8-209. Issuer’s lien. A lien in favor of an...

Section 6A-8-210. - Overissue. - § 6A-8-210. Overissue. (a) In this section, “overissue” means the...

Part 3 - Transfer of Certificated and Uncertificated Securities

Section 6A-8-301. - Delivery. - § 6A-8-301. Delivery. (a) Delivery of a certificated security to...

Section 6A-8-302. - Rights of purchaser. - § 6A-8-302. Rights of purchaser. (a) Except as otherwise provided...

Section 6A-8-303. - Protected purchaser. - § 6A-8-303. Protected purchaser. (a) “Protected purchaser” means a purchaser...

Section 6A-8-304. - Indorsement. - § 6A-8-304. Indorsement. (a) An indorsement may be in blank...

Section 6A-8-305. - Instruction. - § 6A-8-305. Instruction. (a) If an instruction has been originated...

Section 6A-8-306. - Effect of guaranteeing signature, indorsement, or instruction. - § 6A-8-306. Effect of guaranteeing signature, indorsement, or instruction. (a)...

Section 6A-8-307. - Purchaser’s right to requisites for registration of transfer. - § 6A-8-307. Purchaser’s right to requisites for registration of transfer....

Part 4 - Registration

Section 6A-8-401. - Duty of issuer to register transfer. - § 6A-8-401. Duty of issuer to register transfer. (a) If...

Section 6A-8-402. - Assurance that indorsement or instruction is effective. - § 6A-8-402. Assurance that indorsement or instruction is effective. (a)...

Section 6A-8-403. - Demand that issuer not register transfer. - § 6A-8-403. Demand that issuer not register transfer. (a) A...

Section 6A-8-404. - Wrongful registration. - § 6A-8-404. Wrongful registration. (a) Except as otherwise provided in...

Section 6A-8-405. - Replacement of lost, destroyed, or wrongfully taken security certificate. - § 6A-8-405. Replacement of lost, destroyed, or wrongfully taken security...

Section 6A-8-406. - Obligation to notify issuer of lost, destroyed, or wrongfully taken security certificate. - § 6A-8-406. Obligation to notify issuer of lost, destroyed, or...

Section 6A-8-407. - Authenticating trustee, transfer agent, and registrar. - § 6A-8-407. Authenticating trustee, transfer agent, and registrar. A person...

Part 5 - Security Entitlements

Section 6A-8-501. - Securities account — Acquisition of security entitlement from securities intermediary. - § 6A-8-501. Securities account — Acquisition of security entitlement from...

Section 6A-8-502. - Assertion of adverse claim against entitlement holder. - § 6A-8-502. Assertion of adverse claim against entitlement holder. An...

Section 6A-8-503. - Property interest of entitlement holder in financial asset held by securities intermediary. - § 6A-8-503. Property interest of entitlement holder in financial asset...

Section 6A-8-504. - Duty of securities intermediary to maintain financial asset. - § 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. - § 6A-8-505. Duty of securities intermediary with respect to payments...

Section 6A-8-506. - Duty of securities intermediary to exercise rights as directed by entitlement holder. - § 6A-8-506. Duty of securities intermediary to exercise rights as...

Section 6A-8-507. - Duty of securities intermediary to comply with entitlement order. - § 6A-8-507. Duty of securities intermediary to comply with entitlement...

Section 6A-8-508. - Duty of securities intermediary to change entitlement holder’s position to other form of security holding. - § 6A-8-508. Duty of securities intermediary to change entitlement holder’s...

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. - § 6A-8-509. Specification of duties of securities intermediary by other...

Section 6A-8-510. - Rights of purchaser of security entitlement from entitlement holder. - § 6A-8-510. Rights of purchaser of security entitlement from entitlement...

Section 6A-8-511. - Priority among security interests and entitlement holders. - § 6A-8-511. Priority among security interests and entitlement holders. (a)...

Part 6 - Transition Provisions

Section 6A-8-601. - Savings clause. - § 6A-8-601. Savings clause. (a) This chapter does not affect...

Section 6A-8-602. - Official comments. - § 6A-8-602. Official comments. It is the intention of the...

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Rhode Island General Laws Title 6A - Uniform Commercial Code Chapter 6A-8 - Investment Securities

Rhode Island General Laws
Title 6A - Uniform Commercial Code
Chapter 6A-8 - Investment Securities