New York Uniform Commercial Code Law Part 4 - REGISTRATION

• 8-401 - Duty of Issuer to Register Transfer.
  Section 8--401. Duty of Issuer to Register Transfer. (a) If a certificated security in registered form is presented to an issuer with a request to...
• 8-402 - Assurance that Indorsement or Instruction is Effective.
  Section 8--402. Assurance that Indorsement or Instruction is Effective. (a) An issuer may require the following assurance that each necessary indorsement or each instruction is...
• 8-403 - Demand that Issuer Not Register Transfer.
  Section 8--403. Demand that Issuer Not Register Transfer. (a) A person who is an appropriate person to make an indorsement or originate an instruction may...
• 8-404 - Wrongful Registration.
  Section 8--404. Wrongful Registration. (a) Except as otherwise provided in Section 8--406, an issuer is liable for wrongful registration of transfer if the issuer has...
• 8-405 - Replacement of Lost, Destroyed, or Wrongfully Taken Security Certificate.
  Section 8--405. Replacement of Lost, Destroyed, or Wrongfully taken Security Certificate. (a) If an owner of a certificated security, whether in registered or bearer form,...
• 8-406 - Obligation to Notify Issuer of Lost, Destroyed, or Wrongfully Taken Security Certificate.
  Section 8--406. Obligation to Notify Issuer of Lost, Destroyed, or Wrongfully taken Security Certificate. If a security certificate has been lost, apparently destroyed, or wrongfully...
• 8-407 - Authenticating Trustee, Transfer Agent, and Registrar.
  Section 8--407. Authenticating Trustee, Transfer Agent, and Registrar. A person acting as authenticating trustee, transfer agent, registrar, or other agent for an issuer in the...
• A8p5 - Security Entitlements
  PART 5 SECURITY ENTITLEMENTS
• 8-501 - Securities Account; Acquisition of Security Entitlement From Securities Intermediary.
  Section 8--501. Securities Account; Acquisition of Security Entitlement from Securities Intermediary. (a) "Securities account" means an account to which a financial asset is or may...
• 8-502 - Assertion of Adverse Claim Against Entitlement Holder.
  Section 8--502. Assertion of Adverse Claim against Entitlement Holder. An action based on an adverse claim to a financial asset, whether framed in conversion, replevin,...
• 8-503 - Property Interest of Entitlement Holder in Financial Asset Held by Securities Intermediary.
  Section 8--503. Property Interest of Entitlement Holder in Financial Asset held by Securities Intermediary. (a) To the extent necessary for a securities intermediary to satisfy...
• 8-504 - Duty of Securities Intermediary to Maintain Financial Asset.
  Section 8--504. Duty of Securities Intermediary to Maintain Financial Asset. (a) A securities intermediary shall promptly obtain and thereafter maintain a financial asset in a...
• 8-505 - Duty of Securities Intermediary With Respect to Payments and Distributions.
  Section 8--505. Duty of Securities Intermediary with respect to Payments and Distributions. (a) A securities intermediary shall take action to obtain a payment or distribution...
• 8-506 - Duty of Securities Intermediary to Exercise Rights As Directed by Entitlement Holder.
  Section 8--506. Duty of Securities Intermediary to Exercise Rights as directed by Entitlement Holder. A securities intermediary shall exercise rights with respect to a financial...
• 8-507 - Duties of Securities Intermediary to Comply With Entitlement Order.
  Section 8--507. Duty of Securities Intermediary to comply with Entitlement Order. (a) A securities intermediary shall comply with an entitlement order if the entitlement order...
• 8-508 - Duty of Securities Intermediary to Change Entitlement Holder's Position to Other Form of Security Holding.
  Section 8--508. Duty of Securities Intermediary to change Entitlement Holder's Position to Other Form of Security Holding. A securities intermediary shall act at the direction...
• 8-509 - Specification of Duties of Securities Intermediary by Other Statute or Regulation; Manner of Performance of Duties of Securities Intermediary and Exer
  Section 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...
• 8-510 - Rights of Purchaser of Security Entitlement From Entitlement Holder.
  Section 8--510. Rights of Purchaser of Security Entitlement from Entitlement Holder. (a) In a case not covered by the priority rules in Article 9 or...
• 8-511 - Priority Among Security Interests and Entitlement Holders.
  Section 8--511. Priority Among Security Interests and Entitlement Holders. (a) Except as otherwise provided in subsections (b) and (c), if a securities intermediary does not...
• A8p6 - Transition Provisions for Revised Article 8 and for the Conforming Amendments to Articles 1, 5, 9 and 13.
  PART 6 TRANSITION PROVISIONS FOR REVISED ARTICLE 8 AND FOR THE CONFORMING AMENDMENTS TO ARTICLES 1, 5, 9 and 13
• 8-601 - Savings Clause; Effect on Prior Perfected Security Interest.
  Section 8--601. Savings Clause; Effect on Prior Perfected Security Interest. (a) As used in this Part, the term "this Act" means that chapter of the...
• 8-602 - Cross-References to Former Article 8; Meaning or Interpretation.
  Section 8--602. Cross-References to former Article 8; Meaning or Interpretation. (a) Any reference made in law to a bond or other security or instrument to...

Last modified: February 3, 2019