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Kentucky Revised Statutes

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Statutes Last Updated July 22, 2011

Includes Enactments through the 2011 Extraordinary Session
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KRS Chapter 355.08

Part 1.  Short Title and General Matters

  • .101   Short title.

  • .102   Definitions.

  • .103   Rules for determining whether certain obligations and interests are securities or financial assets.

  • .104   Acquisition of security or financial asset or interest therein.

  • .105   Notice of adverse claim.

  • .106   Control.

  • .107   Whether indorsement, instruction, or entitlement order is effective.

  • .108   Warranties in direct holding.

  • .109   Warranties in indirect holding.

  • .110   Applicability -- Choice of law.

  • .111   Clearing corporation rules.

  • .112   Creditor's legal process.

  • .113   Statute of frauds inapplicable.

  • .114   Evidentiary rules concerning certificated securities.

  • .115   Securities intermediary and others not liable to adverse claimant.

  • .116   Securities intermediary as purchaser for value.

    • Part 2. Issue and Issuer

  • .201   "Issuer."

  • .202   Issuer's responsibility and defenses -- Notice of defect of defense.

  • .203   Staleness as notice of defect or defense.

  • .204   Effect of issuer's restrictions on transfer.

  • .205   Effect of unauthorized signature on security certificate.

  • .206   Completion or alteration of security certificate.

  • .207   Rights and duties of issuer with respect to registered owners.

  • .208   Effect of signature of authenticating trustee, registrar, or transfer agent.

  • .209   Issuer's lien.

  • .210   Overissue.

    • Part 3.  Transfer of Certificated and Uncertificated Securities

  • .301   Delivery.

  • .302   Rights of purchaser.

  • .303   Protected purchaser.

  • .304   Indorsement.

  • .305   Instruction.

  • .306   Effect of guaranteeing signature, indorsement, or instruction.

  • .307   Purchaser's right to requisites for registration of transfer.

  • .308   Repealed, effective January 1, 1997.

  • .309   Repealed, effective January 1, 1997.

  • .310   Repealed, effective January 1, 1997.

  • .311   Repealed, effective January 1, 1997.

  • .312   Repealed, effective January 1, 1997.

  • .313   Repealed, effective January 1, 1997.

  • .314   Repealed, effective January 1, 1997.

  • .315   Repealed, effective January 1, 1997.

  • .316   Repealed, effective January 1, 1997.

  • .317   Repealed, effective January 1, 1997.

  • .318   Repealed, effective January 1, 1997.

  • .319   Repealed, effective January 1, 1997.

  • .320   Repealed, effective January 1, 1997.

  • .321   Repealed, effective January 1, 1997.

    • Part 4. Registration

  • .401   Duty of issuer to register transfer.

  • .402   Assurance that indorsement or instruction is effective.

  • .403   Demand that issuer not register transfer.

  • .404   Wrongful registration.

  • .405   Replacement of lost, destroyed, or wrongfully taken security certificate.

  • .406   Obligation to notify issuer of lost, destroyed, or wrongfully taken security certificate.

  • .407   Authenticating trustee, transfer agent, and registrar.

  • .408   Repealed, 1997.

    • Part 5. Security Entitlements

  • .501   Securities account -- Acquisition of security entitlement from securities intermediary.

  • .502   Assertion of adverse claim against entitlement holder.

  • .503   Property interest of entitlement holder in financial asset held by securities intermediary.

  • .504   Duties of securities intermediary to maintain financial asset.

  • .505   Duty of securities intermediary with respect to payments and distributions.

  • .506   Duty of securities intermediary to exercise rights as directed by entitlement holder.

  • .507   Duty of securities intermediary to comply with entitlement order.

  • .508   Duty of securities intermediary to change entitlement holder's position to other form of security holding.

  • .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.

  • .510   Rights of purchaser of security entitlement from entitlement holder.

  • .511   Priority among security interests and entitlement holders.

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