Connecticut General Statutes|Article 8 - Investment Securities

Sec. 42a-8-101. Short title: Uniform Commercial Code–Investment Securities.

Sec. 42a-8-102. Definitions.

Sec. 42a-8-103. Rules for determining whether certain obligations and interests are securities or financial assets.

Sec. 42a-8-104. Acquisition of security or financial asset or interest therein.

Sec. 42a-8-105. Notice of adverse claim.

Sec. 42a-8-106. Control.

Sec. 42a-8-107. Whether endorsement, instruction or entitlement order is effective.

Sec. 42a-8-108. Warranties in direct holding.

Sec. 42a-8-109. Warranties in indirect holding.

Sec. 42a-8-110. Applicability; choice of law.

Sec. 42a-8-111. Clearing corporation rules.

Sec. 42a-8-112. Creditor's legal process.

Sec. 42a-8-113. Statute of frauds inapplicable.

Sec. 42a-8-114. Evidentiary rules concerning certificated securities.

Sec. 42a-8-115. Securities intermediary and others not liable to adverse claimant.

Sec. 42a-8-116. Securities intermediary as purchaser.

Sec. 42a-8-201. Issuer.

Sec. 42a-8-202. Issuer's responsibility and defenses; notice of defect or defense.

Sec. 42a-8-203. Staleness as notice of defect or defense.

Sec. 42a-8-204. Effect of issuer's restriction on transfer.

Sec. 42a-8-205. Effect of unauthorized signature on security certificate.

Sec. 42a-8-206. Completion or alteration of security certificate.

Sec. 42a-8-207. Rights and duties of issuer with respect to registered owners.

Sec. 42a-8-208. Effect of signature of authenticating trustee, registrar or transfer agent.

Sec. 42a-8-209. Issuer's lien.

Sec. 42a-8-210. Overissue.

Sec. 42a-8-301. Delivery.

Sec. 42a-8-302. Rights of purchaser.

Sec. 42a-8-303. Protected purchaser.

Sec. 42a-8-304. Endorsement.

Sec. 42a-8-305. Instruction.

Sec. 42a-8-306. Effect of guaranteeing signature, endorsement or instruction.

Sec. 42a-8-307. Purchaser's right to requisites for registration of transfer.

Secs. 42a-8-308 to 42a-8-321. Endorsements; instructions. Effect of endorsement without delivery. Endorsement of certificated security in bearer form. Effect of unauthorized endorsement or instruction. Effect of guaranteeing signature, endorsement or instruction. When transfer to purchaser occurs: Financial intermediary as bona fide purchaser; “financial intermediary”. Duty to transfer, when completed. Action against transferee based upon wrongful transfer. Purchaser's right to requisites for registration of transfer, pledge or release on books. Creditors' rights. No conversion by good faith conduct. Statute of frauds. Transfer or pledge within central depository system. Enforceability, attachment, perfection and termination of security interests.

Sec. 42a-8-401. Duty of issuer to register transfer.

Sec. 42a-8-402. Assurance that endorsement or instruction is effective.

Sec. 42a-8-403. Demand that issuer not register transfer.

Sec. 42a-8-404. Wrongful registration.

Sec. 42a-8-405. Replacement of lost, destroyed or wrongfully taken security certificate.

Sec. 42a-8-406. Obligation to notify issuer of lost, destroyed or wrongfully taken security certificate.

Sec. 42a-8-407. Authenticating trustee, transfer agent and registrar.

Sec. 42a-8-408. Statement of uncertificated securities.

Sec. 42a-8-501. Securities account; acquisition of security entitlement from securities intermediary.

Sec. 42a-8-502. Assertion of adverse claim against entitlement holder.

Sec. 42a-8-503. Property interest of entitlement holder in financial asset held by securities intermediary.

Sec. 42a-8-504. Duty of securities intermediary to maintain financial asset.

Sec. 42a-8-505. Duty of securities intermediary with respect to payments and distributions.

Sec. 42a-8-506. Duty of securities intermediary to exercise rights as directed by entitlement holder.

Sec. 42a-8-507. Duty of securities intermediary to comply with entitlement order.

Sec. 42a-8-508. Duty of securities intermediary to change entitlement holder's position to other form of security holding.

Sec. 42a-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.

Sec. 42a-8-510. Rights of purchaser of security entitlement from entitlement holder.

Sec. 42a-8-511. Priority among security interests and entitlement holders.

Sec. 42a-8-601. Savings clause.

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