§ 26-1-8.1-0.1 Effect of enactment of chapter
§ 26-1-8.1-0.3 Perfection of certain security interests; continuation of perfection
§ 26-1-8.1-101 Short title
§ 26-1-8.1-102 Definitions and index of definitions; principles of construction and interpretation; characterization of person, business, or transaction
§ 26-1-8.1-103 Classification as security or financial asset
§ 26-1-8.1-104 Acquisition of a security or financial asset
§ 26-1-8.1-105 Notice of adverse claim
§ 26-1-8.1-106 Control by purchaser; certificated security, uncertificated security, or security entitlement; agreement by issuer or securities intermediary to comply with purchaser’s orders or instructions
§ 26-1-8.1-107 Effectiveness of endorsement, instruction, or entitlement order
§ 26-1-8.1-108 Warranties upon purchase or transfer of security
§ 26-1-8.1-109 Warranties made by and to a securities intermediary
§ 26-1-8.1-110 Governing local law; determination of jurisdiction of issuer or securities intermediary
§ 26-1-8.1-111 Applicability of rules adopted by clearing corporations
§ 26-1-8.1-112 Creditor access to debtor’s interest in a security
§ 26-1-8.1-113 Enforceability of contracts for sale or purchase of a security
§ 26-1-8.1-114 Special rules in actions against issuers of a certificated security
§ 26-1-8.1-115 Liability of securities intermediary, broker, or other agent or bailee
§ 26-1-8.1-116 Determination of securities intermediary as purchaser for value
§ 26-1-8.1-201 “Issuer” defined
§ 26-1-8.1-202 Terms of security; rules on validity; issuer’s defenses; cancellation of contracts
§ 26-1-8.1-203 Notice of defects
§ 26-1-8.1-204 Restrictions on transfer
§ 26-1-8.1-205 Effect of unauthorized signature or certificate
§ 26-1-8.1-206 Enforceability of incomplete or incorrect certificate
§ 26-1-8.1-207 Registered owner to exercise all rights and powers of owner absent appropriate notice of transfer
§ 26-1-8.1-208 Warranties by security certificate authenticating signatory
§ 26-1-8.1-209 Issuer’s lien
§ 26-1-8.1-210 Overissue of security; refund in the event of unavailability of security
§ 26-1-8.1-301 Delivery of security
§ 26-1-8.1-302 Rights acquired by purchaser
§ 26-1-8.1-303 “Protected purchaser” defined; acquisition of interest free of adverse claims
§ 26-1-8.1-304 Endorsement of securities
§ 26-1-8.1-305 Incomplete instructions; obligations imposed on person initiating instructions
§ 26-1-8.1-306 Warranties by guarantor
§ 26-1-8.1-307 Duties of transferor of security
§ 26-1-8.1-401 Issuer’s duty to register transfer
§ 26-1-8.1-402 Issuer’s right to assurances
§ 26-1-8.1-403 Demand that transfer not be registered; notice; contents; liability
§ 26-1-8.1-404 Issuer liability for wrongful registration of transfer
§ 26-1-8.1-405 Issuance of new certificates; protected purchasers
§ 26-1-8.1-406 Failure to notify issuer of lost, destroyed, or wrongfully taken certificates
§ 26-1-8.1-407 Obligations of agents acting on behalf of issuer
§ 26-1-8.1-501 Acquisition of security entitlements
§ 26-1-8.1-502 Adverse claims against person holding a security entitlement
§ 26-1-8.1-503 Property interests in financial assets; enforcement of property rights; purchasers for value
§ 26-1-8.1-504 Maintenance of financial assets by securities intermediary; exempted entity
§ 26-1-8.1-505 Duty of securities intermediary to obtain and pay distributions on financial assets
§ 26-1-8.1-506 Duty of securities intermediary to exercise rights as directed by entitlement holder
§ 26-1-8.1-507 Duty of securities intermediary to comply with entitlement order; liability for wrongful transfer
§ 26-1-8.1-508 Duty of securities intermediary to act at direction of entitlement holder
§ 26-1-8.1-509 Standards for performance of duties by securities intermediary
§ 26-1-8.1-510 Purchaser for value of financial asset or security entitlement; adverse claims
§ 26-1-8.1-511 Priority of claims in financial asset

Terms Used In Indiana Code > Title 26 > Article 1 > Chapter 8.1 - 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.
  • Judgment: means all final orders, decrees, and determinations in an action and all orders upon which executions may issue. See Indiana Code 1-1-4-5
  • 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.
  • 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.
  • Property: includes personal and real property. See Indiana Code 1-1-4-5
  • 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.
  • United States: includes the District of Columbia and the commonwealths, possessions, states in free association with the United States, and the territories. See Indiana Code 1-1-4-5
  • Year: means a calendar year, unless otherwise expressed. See Indiana Code 1-1-4-5