Title 11, Article 8-A: INVESTMENT SECURITIES

Title 11, Article 8-A: INVESTMENT SECURITIES

Part 1: SHORT TITLE AND GENERAL MATTERS

11 §8-1101. Short title

11 §8-1102. Definitions

11 §8-1103. Rules for determining whether certain obligations and interests are securities or financial assets

11 §8-1104. Acquisition of security or financial asset or interest in a security or financial asset

11 §8-1105. Notice of adverse claim

11 §8-1106. Control

11 §8-1107. Whether indorsement, instruction or entitlement order is effective

11 §8-1108. Warranties in direct holding

11 §8-1109. Warranties in indirect holding

11 §8-1110. Applicability; choice of law

11 §8-1111. Clearing corporation rules

11 §8-1112. Creditor's legal process

11 §8-1113. Statute of frauds inapplicable

11 §8-1114. Evidentiary rules concerning certificated securities

11 §8-1115. Securities intermediary and others not liable to adverse claimant

11 §8-1116. Securities intermediary as purchaser for value

Part 2: ISSUE AND ISSUER

11 §8-1201. Issuer

11 §8-1202. Issuer's responsibility and defenses; notice of defect or defense

11 §8-1203. Staleness as notice of defect or defense

11 §8-1204. Effect of issuer's restriction on transfer

11 §8-1205. Effect of unauthorized signature on security certificate

11 §8-1206. Completion or alteration of security certificate

11 §8-1207. Rights and duties of issuer with respect to registered owners

11 §8-1208. Effect of signature of authenticating trustee, registrar or transfer agent

11 §8-1209. Issuer's lien

11 §8-1210. Overissue

Part 3: TRANSFER OF CERTIFICATED AND UNCERTIFICATED SECURITIES

11 §8-1301. Delivery

11 §8-1302. Rights of purchaser

11 §8-1303. Protected purchaser

11 §8-1304. Indorsement

11 §8-1305. Instruction

11 §8-1306. Effect of guaranteeing signature, indorsement or instruction

11 §8-1307. Purchaser's right to requisites for registration of transfer

Part 4: REGISTRATION

11 §8-1401. Duty of issuer to register transfer

11 §8-1402. Assurance that indorsement or instruction is effective

11 §8-1403. Demand that issuer not register transfer

11 §8-1404. Wrongful registration

11 §8-1405. Replacement of lost, destroyed or wrongfully taken security certificate

11 §8-1406. Obligation to notify issuer of lost, destroyed or wrongfully taken security certificate

11 §8-1407. Authenticating trustee, transfer agent and registrar

Part 5: SECURITY ENTITLEMENTS

11 §8-1501. Securities account; acquisition of security entitlement from securities intermediary

11 §8-1502. Assertion of adverse claim against entitlement holder

11 §8-1503. Property interest of entitlement holder in financial asset held by securities intermediary

11 §8-1504. Duty of securities intermediary to maintain financial asset

11 §8-1505. Duty of securities intermediary with respect to payments and distributions

11 §8-1506. Duty of securities intermediary to exercise rights as directed by entitlement holder

11 §8-1507. Duty of securities intermediary to comply with entitlement order

11 §8-1508. Duty of securities intermediary to change entitlement holder's position to other form of security holding

11 §8-1509. 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

11 §8-1510. Rights of purchaser of security entitlement from entitlement holder

11 §8-1511. Priority among security interests and entitlement holders

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Office of the Revisor of Statutes · 7 State House Station · State House Room 108 · Augusta, Maine 04333-0007

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