Chapter 78  Investment Securities

General Provisions

§ 78.1010 Short title
§ 78.1020 Definitions and index of definitions
§ 78.1030 Rules for determining whether certain obligations and interests are securities or financial assets
§ 78.1040 Acquisition of security or financial asset or interest therein
§ 78.1050 Notice of adverse claim
§ 78.1060 Control
§ 78.1070 Whether indorsement, instruction or entitlement order is effective
§ 78.1080 Warranties in direct holding
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Issue; Issuer

§ 78.2010 "Issuer"
§ 78.2020 Terms of security
§ 78.2030 Staleness as notice of defects or defenses
§ 78.2040 Effect of issuer's restriction on transfer
§ 78.2050 Effect of unauthorized signature on security certificate
§ 78.2060 Completion or alteration of security certificate
§ 78.2070 Rights of issuer with respect to registered owners
§ 78.2080 Effect of signature of authenticating trustee, registrar or transfer agent
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Transfer Of Certificated And Uncertificated Securities

§ 78.3010 Delivery
§ 78.3020 Rights of purchaser
§ 78.3030 "Protected purchaser"
§ 78.3040 Indorsement
§ 78.3050 Instruction
§ 78.3060 Effect of guaranteeing signature, indorsement or instruction
§ 78.3070 Purchaser's rights to requisites for registration of transfer

Registration

§ 78.4010 Duty of issuer to register transfer
§ 78.4020 Assurance that indorsement or instruction is effective
§ 78.4030 Demand that issuer not register transfer
§ 78.4040 Wrongful registration
§ 78.4050 Replacement of lost, destroyed or wrongfully taken security certificate
§ 78.4060 Obligation to notify issuer of lost, destroyed or wrongfully taken security certificate
§ 78.4070 Authenticating trustee, transfer agent and registrar

Security Entitlements

§ 78.5010 Securities account
§ 78.5020 Assertion of adverse claim against entitlement holder
§ 78.5030 Property interest of entitlement holder in financial asset held by securities intermediary
§ 78.5040 Duty of securities intermediary to maintain financial asset
§ 78.5050 Duty of securities intermediary with respect to payments and distributions
§ 78.5060 Duty of securities intermediary to exercise rights as directed by entitlement holder
§ 78.5070 Duty of securities intermediary to comply with entitlement order
§ 78.5080 Duty of securities intermediary to change entitlement holder's position to other form of security holding
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