§ 62A.8-101 Short title
§ 62A.8-102 Definitions
§ 62A.8-103 Rules for determining whether certain obligations and interests are securities or financial assets
§ 62A.8-104 Acquisition of security or financial asset or interest therein
§ 62A.8-105 Notice of adverse claim
§ 62A.8-106 Control
§ 62A.8-107 Whether indorsement, instruction, or entitlement is effective
§ 62A.8-108 Warranties in direct holding
§ 62A.8-109 Warranties in indirect holding
§ 62A.8-110 Applicability; choice of law
§ 62A.8-111 Clearing corporation rules
§ 62A.8-112 Creditor’s legal process
§ 62A.8-113 Statute of frauds inapplicable
§ 62A.8-114 Evidentiary rules concerning certificated securities
§ 62A.8-115 Securities intermediary and others not liable to adverse claimant
§ 62A.8-116 Securities intermediary as purchaser for value
§ 62A.8-201 Issuer
§ 62A.8-202 Issuer’s responsibility and defenses; notice of defect or defense
§ 62A.8-203 Staleness as notice of defect or defense
§ 62A.8-204 Effect of issuer’s restrictions on transfer
§ 62A.8-205 Effect of unauthorized signature on security certificate
§ 62A.8-206 Completion or alteration of security certificate
§ 62A.8-207 Rights and duties of issuer with respect to registered owners
§ 62A.8-208 Effect of signature of authenticating trustee, registrar, or transfer agent
§ 62A.8-209 Issuer’s lien
§ 62A.8-210 Overissue
§ 62A.8-301 Delivery
§ 62A.8-302 Rights of purchaser
§ 62A.8-303 Protected purchaser
§ 62A.8-304 Indorsement
§ 62A.8-305 Instruction
§ 62A.8-306 Effect of guaranteeing signature, indorsement, or instruction
§ 62A.8-307 Purchaser’s right to requisites for registration of transfer
§ 62A.8-401 Duty of issuer to register transfer
§ 62A.8-402 Assurance that indorsement or instruction is effective
§ 62A.8-403 Demand that issuer not register transfer
§ 62A.8-404 Wrongful registration
§ 62A.8-405 Replacement of lost, destroyed, or wrongfully taken security certificate
§ 62A.8-406 Obligation to notify issuer of lost, destroyed, or wrongfully taken security certificate
§ 62A.8-407 Authenticating trustee, transfer agent, and registrar
§ 62A.8-501 Securities account; acquisition of security entitlement from securities intermediary
§ 62A.8-502 Assertion of adverse claim against entitlement holder
§ 62A.8-503 Property interest of entitlement holder in financial asset held by securities intermediary
§ 62A.8-504 Duty of securities intermediary to maintain financial asset
§ 62A.8-505 Duty of securities intermediary with respect to payments and distributions
§ 62A.8-506 Duty of securities intermediary to exercise rights as directed by entitlement holder
§ 62A.8-507 Duty of securities intermediary to comply with entitlement order
§ 62A.8-508 Duty of securities intermediary to change entitlement holder’s position to other form of security holding
§ 62A.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
§ 62A.8-510 Rights of purchaser of security entitlement from entitlement holder
§ 62A.8-511 Priority among security interests and entitlement holders
§ 62A.8-601 Savings clause
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Terms Used In Washington Code > Chapter 62A.8 - Investment securities

  • Annuity: A periodic (usually annual) payment of a fixed sum of money for either the life of the recipient or for a fixed number of years. A series of payments under a contract from an insurance company, a trust company, or an individual. Annuity payments are made at regular intervals over a period of more than one full year.
  • Assets: (1) The property comprising the estate of a deceased person, or (2) the property in a trust account.
  • Attachment: A procedure by which a person's property is seized to pay judgments levied by the court.
  • Contract: A legal written agreement that becomes binding when signed.
  • Corporation: A legal entity owned by the holders of shares of stock that have been issued, and that can own, receive, and transfer property, and carry on business in its own name.
  • Damages: Money paid by defendants to successful plaintiffs in civil cases to compensate the plaintiffs for their injuries.
  • Decedent: A deceased person.
  • Defendant: In a civil suit, the person complained against; in a criminal case, the person accused of the crime.
  • Entitlement: A Federal program or provision of law that requires payments to any person or unit of government that meets the eligibility criteria established by law. Entitlements constitute a binding obligation on the part of the Federal Government, and eligible recipients have legal recourse if the obligation is not fulfilled. Social Security and veterans' compensation and pensions are examples of entitlement programs.
  • Equitable: Pertaining to civil suits in "equity" rather than in "law." In English legal history, the courts of "law" could order the payment of damages and could afford no other remedy. See damages. A separate court of "equity" could order someone to do something or to cease to do something. See, e.g., injunction. In American jurisprudence, the federal courts have both legal and equitable power, but the distinction is still an important one. For example, a trial by jury is normally available in "law" cases but not in "equity" cases. Source: U.S. Courts
  • Evidence: Information presented in testimony or in documents that is used to persuade the fact finder (judge or jury) to decide the case for one side or the other.
  • Fiduciary: A trustee, executor, or administrator.
  • Guarantor: A party who agrees to be responsible for the payment of another party's debts should that party default. Source: OCC
  • Guardian: A person legally empowered and charged with the duty of taking care of and managing the property of another person who because of age, intellect, or health, is incapable of managing his (her) own affairs.
  • Injunction: An order of the court prohibiting (or compelling) the performance of a specific act to prevent irreparable damage or injury.
  • Jurisdiction: (1) The legal authority of a court to hear and decide a case. Concurrent jurisdiction exists when two courts have simultaneous responsibility for the same case. (2) The geographic area over which the court has authority to decide cases.
  • Lien: A claim against real or personal property in satisfaction of a debt.
  • Obligation: An order placed, contract awarded, service received, or similar transaction during a given period that will require payments during the same or a future period.
  • Partnership: A voluntary contract between two or more persons to pool some or all of their assets into a business, with the agreement that there will be a proportional sharing of profits and losses.
  • person: may be construed to include the United States, this state, or any state or territory, or any public or private corporation or limited liability company, as well as an individual. See Washington Code 1.16.080
  • Plaintiff: The person who files the complaint in a civil lawsuit.
  • Pleadings: Written statements of the parties in a civil case of their positions. In the federal courts, the principal pleadings are the complaint and the answer.
  • Settlement: Parties to a lawsuit resolve their difference without having a trial. Settlements often involve the payment of compensation by one party in satisfaction of the other party's claims.
  • Statute: A law passed by a legislature.
  • Trustee: A person or institution holding and administering property in trust.