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Chapter 62A.8 RCW

INVESTMENT SECURITIES

RCW Sections

PART 1

SHORT TITLE AND GENERAL MATTERS
62A.8-101Short title.
62A.8-102Definitions.
62A.8-103Rules for determining whether certain obligations and interests are securities or financial assets.
62A.8-104Acquisition of security or financial asset or interest therein.
62A.8-105Notice of adverse claim.
62A.8-106Control.
62A.8-107Whether indorsement, instruction, or entitlement is effective.
62A.8-108Warranties in direct holding.
62A.8-109Warranties in indirect holding.
62A.8-110Applicability; choice of law.
62A.8-111Clearing corporation rules.
62A.8-112Creditor's legal process.
62A.8-113Statute of frauds inapplicable.
62A.8-114Evidentiary rules concerning certificated securities.
62A.8-115Securities intermediary and others not liable to adverse claimant.
62A.8-116Securities intermediary as purchaser for value.
PART 2

ISSUE AND ISSUER
62A.8-201Issuer.
62A.8-202Issuer's responsibility and defenses; notice of defect or defense.
62A.8-203Staleness as notice of defect or defense.
62A.8-204Effect of issuer's restrictions on transfer.
62A.8-205Effect of unauthorized signature on security certificate.
62A.8-206Completion or alteration of security certificate.
62A.8-207Rights and duties of issuer with respect to registered owners.
62A.8-208Effect of signature of authenticating trustee, registrar, or transfer agent.
62A.8-209Issuer's lien.
62A.8-210Overissue.
PART 3

TRANSFER OF CERTIFICATED AND

UNCERTIFICATED SECURITIES
62A.8-301Delivery.
62A.8-302Rights of purchaser.
62A.8-303Protected purchaser.
62A.8-304Indorsement.
62A.8-305Instruction.
62A.8-306Effect of guaranteeing signature, indorsement, or instruction.
62A.8-307Purchaser's right to requisites for registration of transfer.
PART 4

REGISTRATION
62A.8-401Duty of issuer to register transfer.
62A.8-402Assurance that indorsement or instruction is effective.
62A.8-403Demand that issuer not register transfer.
62A.8-404Wrongful registration.
62A.8-405Replacement of lost, destroyed, or wrongfully taken security certificate.
62A.8-406Obligation to notify issuer of lost, destroyed, or wrongfully taken security certificate.
62A.8-407Authenticating trustee, transfer agent, and registrar.
PART 5

SECURITY ENTITLEMENTS
62A.8-501Securities account; acquisition of security entitlement from securities intermediary.
62A.8-502Assertion of adverse claim against entitlement holder.
62A.8-503Property interest of entitlement holder in financial asset held by securities intermediary.
62A.8-504Duty of securities intermediary to maintain financial asset.
62A.8-505Duty of securities intermediary with respect to payments and distributions.
62A.8-506Duty of securities intermediary to exercise rights as directed by entitlement holder.
62A.8-507Duty of securities intermediary to comply with entitlement order.
62A.8-508Duty of securities intermediary to change entitlement holder's position to other form of security holding.
62A.8-509Specification 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.
62A.8-510Rights of purchaser of security entitlement from entitlement holder.
62A.8-511Priority among security interests and entitlement holders.
PART 6

TRANSITION PROVISIONS FOR REVISED ARTICLE 8 AND

CONFORMING AMENDMENTS TO ARTICLES 1, 5, 9, AND 10
62A.8-601Savings clause.