1、美国统一商法典 Uniform Commercial Code2008-7-29【大 中 小】U.C.C. - ARTICLE 1 - GENERAL PROVISIONSPART 1. GENERAL PROVISIONS Table of Contents 1-101. Short Titles.（a） This Act may be cited as the Uniform Commercial Code.（b） This article may be cited as Uniform Commercial Code-General Provisions. 1-102. Scope of
2、 Article.This article applies to a transaction to the extent that it is governed by another article of the Uniform Commercial Code. 1-103. Construction of Uniform Commercial Code to Promote its Purposes and Policies: Applicability of Supplemental Principles of Law.（a） The Uniform Commercial Code mus
3、t be liberally construed and applied to promote its underlying purposes and policies, which are: （1） to simplify, clarify, and modernize the law governing commercial transactions; （2） to permit the continued expansion of commercial practices through custom, usage, and agreement of the parties; and （
4、3） to make uniform the law among the various jurisdictions.（b） Unless displaced by the particular provisions of the Uniform Commercial Code, the principles of law and equity, including the law merchant and the law relative to capacity to contract, principal and agent, estoppel, fraud, misrepresentat
5、ion, duress, coercion, mistake, bankruptcy, and other validating or invalidating cause supplement its provisions.第条 简称本法称为并可被引用为统一商法典。第条 宗旨；解释原则；通过协议改变本法条款的效力本法应作灵活的解释和适用，以促进本法之基本宗旨的实现。本法之基本宗旨为：使调整商业交易的法律更加简洁、明确并适应现代要求；使商业作法能够通过习惯、行业惯例和当事方协议不断获得发展；使各州调整商业交易的法律归于统一。在本法没有相反规定的情况下，本法各条款的效力可以通过当事方的协议加以改
6、变。本法规定的善意、勤勉、合理和注意的义务，不得通过协议加以排除；但是，当事方可以通过协议确定履行这些义务的标准。所确定的标准不得明显不合理。本法某些条款包含有“除非另有协议”或类似词句，这并不意味着未包含此类词句的其它条款的效力就不可以通过本条第款所规定的协议加以改变。除上下文另有所指外，在本法中，单数词包含复数含义，复数词包含单数含义；阳性词包含阴性含义和中性含义；在可以得到合理解释时，中性词包含任何词性的含义。 1-104. Construction Against Implied Repeal.The Uniform Commercial Code being a general ac
7、t intended as a unified coverage of its subject matter, no part of it shall be deemed to be impliedly repealed by subsequent legislation if such construction can reasonably be avoided. 1-105. Severability.If any provision or clause of the Uniform Commercial Code or its application to any person or c
8、ircumstance is held invalid, the invalidity does not affect other provisions or applications of the Uniform Commercial Code which can be given effect without the invalid provision or application, and to this end the provisions of the Uniform Commercial Code are severable.第条 一般法律原则应作为本法的补充在本法没有具体条款予以
9、排除的情况下，普通法和衡平法的各项原则，包括商人法和涉及合同能力、本人和代理人、禁止反悔、欺诈、虚伪说明、胁迫、强制、错误或破产的法律，或其它使合同生效或失效的法律，应作为本法的补充。第条 不作默示废除之解释本法是一部旨在统一其领域内法律规范的一般法。在可以合理避免的情况下，本法的任何部分均不应被认为被本法以后的立法所默示废除。第条 本法的地域效力；当事方选择适用法的权力除本条后述另有规定外，如果一项交易同时与本州和它州或它国有合理联系，当事方可以协议选择本州法律或它州或它国法律作为确定他们权利和义务的法律。如果无协议，本法适用于与本州有适当联系的交易。当本法下列任何条款对适用法作出规定时，应
10、按条款之规定适用有关的适用法；相反之协议，只在所规定之适用法（包括冲突法规范）允许的范围内才有效：债权人对已售出之货物的权利 第条；银行存款和收款篇的适用 第条；受大宗转让篇约束的大宗转让 第条；投资证券篇中的法律适用问题 第条；担保交易篇中有关担保权益之完善的条款 第条。 1-106. Use of Singular and Plural; Gender.In the Uniform Commercial Code, unless the statutory context otherwise requires: （1） words in the singular number includ
11、e the plural, and those in the plural include the singular; and （2） words of any gender also refer to any other gender. 1-107. Section Captions.Section captions are part of the Uniform Commercial Code. 1-108. Relation to Electronic Signatures in Global and National Commerce Act.This article modifies
12、, limits, and supersedes the federal Electronic Signatures in Global and National Commerce Act, 15 U.S.C. Section 7001 et seq., except that nothing in this article modifies, limits, or supersedes Section 7001（c） of that Act or authorizes electronic delivery of any of the notices described in Section
13、 7003（b） of that Act.第条 灵活提供救济应为使受损方尽可能地恢复到另一方充分履行义务时他本应达到的状态而灵活提供本法所规定的救济；但除非本法或其它法律另有特别规定，受损方无权就间接损失或特别损失取得赔偿，也无权取得惩罚性赔偿。本法所规定的任何权利或义务，均可通过诉讼强制执行，除非设定此种权利或义务的条款另有不同的和限制性的规定。第条 放弃因对方违约而产生的请求权或其它权利受损方可在签署并交付书面弃权声明后无对价地全部或部分放弃因对方违约而产生的请求权或其它权利。第条 条款的独立性如果本法的任何条款或其对任何人或任何情况的适用被判决无效，此种无效不应影响本法的其它条款或其适用
14、，除非此种无效必然导致该其它条款或其适用的无效。在此种意义上，本法的各条款是独立的。第条 标题本法各条的标题均为本法的组成部分。PART 2. GENERAL DEFINITIONS AND PRINCIPLES OF INTERPRETATION Table of Contents 1-201. General Definitions.（a） Unless the context otherwise requires, words or phrases defined in this section, or in the additional definitions contained in
15、 other articles of the Uniform Commercial Code that apply to particular articles or parts thereof, have the meanings stated.（b） Subject to definitions contained in other articles of the Uniform Commercial Code that apply to particular articles or parts thereof:（1） Action, in the sense of a judicial
16、proceeding, includes recoupment, counterclaim, set-off, suit in equity, and any other proceeding in which rights are determined.（2） Aggrieved party means a party entitled to pursue a remedy.（3） Agreement, as distinguished from contract, means the bargain of the parties in fact, as found in their lan
17、guage or inferred from other circumstances, including course of performance, course of dealing, or usage of trade as provided in Section 1-303.（4） Bank means a person engaged in the business of banking and includes a savings bank, savings and loan association, credit union, and trust company.（5） Bea
18、rer means a person in possession of a negotiable instrument, document of title, or certificated security that is payable to bearer or indorsed in blank.（6） Bill of lading means a document evidencing the receipt of goods for shipment issued by a person engaged in the business of transporting or forwa
19、rding goods.（7） Branch includes a separately incorporated foreign branch of a bank.（8） Burden of establishing a fact means the burden of persuading the trier of fact that the existence of the fact is more probable than its nonexistence.（9） Buyer in ordinary course of business means a person that buy
20、s goods in good faith, without knowledge that the sale violates the rights of another person in the goods, and in the ordinary course from a person, other than a pawnbroker, in the business of selling goods of that kind. A person buys goods in the ordinary course if the sale to the person comports w
21、ith the usual or customary practices in the kind of business in which the seller is engaged or with the sellers own usual or customary practices. A person that sells oil, gas, or other minerals at the wellhead or minehead is a person in the business of selling goods of that kind. A buyer in ordinary
22、 course of business may buy for cash, by exchange of other property, or on secured or unsecured credit, and may acquire goods or documents of title under a preexisting contract for sale. Only a buyer that takes possession of the goods or has a right to recover the goods from the seller under Article
23、 2 may be a buyer in ordinary course of business. Buyer in ordinary course of business does not include a person that acquires goods in a transfer in bulk or as security for or in total or partial satisfaction of a money debt.（10） Conspicuous, with reference to a term, means so written, displayed, o
24、r presented that a reasonable person against which it is to operate ought to have noticed it. Whether a term is conspicuous or not is a decision for the court. Conspicuous terms include the following: （A） a heading in capitals equal to or greater in size than the surrounding text, or in contrasting
25、type, font, or color to the surrounding text of the same or lesser size; and （B） language in the body of a record or display in larger type than the surrounding text, or in contrasting type, font, or color to the surrounding text of the same size, or set off from surrounding text of the same size by
26、 symbols or other marks that call attention to the language.第二章 一般定义和解释原则第条 一般定义除本法以后各篇为适用该篇或其任何一章而对下列定义作出补充定义或上下文另有所指外，在本法中，“诉讼”包括反诉、反请求、债务抵销、衡平诉讼以及其它任何确定权利的法律程序。“受损方”指有权获得救济的当事方。“协议”指当事方事实上达成的合意。此种合意可以根据当事方使用的语言得到证实，也可以根据其它客观情况，包括本法所规定的交易过程、行业惯例或履约过程（第条，第条），得到推定证实。协议是否产生法律后果，在可能的情况下应依本法条款予以确定；否则，应
27、依合同法原则予以确定（第条）。（请比较“合同”）“银行”指任何从事银行业务的人。“持票人”指占有凭票付款（或交货）或空白背书票据、所有权凭证或证券的人。“提单”指由从事货物运输或递送业务的人开出的证明收到待运货物的单据，包括空运单。“空运单”指空运货物时能起到与海运或铁路运输提单相同之作用的单据，包括空运托运单或空运货单。“分行”包括银行在外州或外国独立注册登记的分行。对某项事实承担“举证责任”，指承担说服事实之审判员，使其相信该事实存在之可能性大于其不存在之可能性的责任。“正常业务中的买方”指在不了解所售货物侵犯了第三方之所有权或担保权益的情况下以善意通过正常方式向从事该种货物销售之卖方买进
28、货物的人。此处的卖方不包括典当商。所有在井源或矿源销售矿物或类似物质（包括石油和天然气）的人，均应被视为从事该种货物销售的人。“买进”既指用现金买，也指用其它财产交换或利用有担保或无担保之信用赊买，也包括依据前存买卖合同收取货物或所有权凭证，但不包括大宗转让，也不包括为担保金钱债务所作的转让，以及为部分或全部清偿金钱债务所作的转让。“醒目”：任何条款或句子，如果其书写方式使作为其阅读对象的通情达理的人在阅读时不至忽略，即为醒目。印刷的大写标题属于醒目（如大写的“不可流通提单”）。表格中间的任何字句，如果使用较大字体或使用其它明显不同的字体或颜色，即为醒目。电报中的任何字句均为醒目。条款或句子是
29、否醒目，由法院判定。（11） Consumer means an individual who enters into a transaction primarily for personal, family, or household purposes.（12） Contract, as distinguished from agreement, means the total legal obligation that results from the parties agreement as determined by the Uniform Commercial Code as sup
30、plemented by any other applicable laws.（13） Creditor includes a general creditor, a secured creditor, a lien creditor, and any representative of creditors, including an assignee for the benefit of creditors, a trustee in bankruptcy, a receiver in equity, and an executor or administrator of an insolv
31、ent debtors or assignors estate.（14） Defendant includes a person in the position of defendant in a counterclaim, cross-claim, or third-party claim.（15） Delivery, with respect to an instrument, document of title, or chattel paper, means voluntary transfer of possession.（16） Document of title includes
32、 bill of lading, dock warrant, dock receipt, warehouse receipt or order for the delivery of goods, and also any other document which in the regular course of business or financing is treated as adequately evidencing that the person in possession of it is entitled to receive, hold, and dispose of the
33、 document and the goods it covers. To be a document of title, a document must purport to be issued by or addressed to a bailee and purport to cover goods in the bailees possession which are either identified or are fungible portions of an identified mass.（17） Fault means a default, breach, or wrongf
34、ul act or omission.（18） Fungible goods means: （A） goods of which any unit, by nature or usage of trade, is the equivalent of any other like unit; or （B） goods that by agreement are treated as equivalent.（19） Genuine means free of forgery or counterfeiting.（20） Good faith, except as otherwise provide
35、d in Article 5, means honesty in fact and the observance of reasonable commercial standards of fair dealing.（21） Holder means: （A） the person in possession of a negotiable instrument that is payable either to bearer or to an identified person that is the person in possession; or （B） the person in po
36、ssession of a document of title if the goods are deliverable either to bearer or to the order of the person in possession.“合同”指当事方通过协议而承担的受本法或其它适用法约束的全部法律义务。（请比较“协议”）“债权人”包括普通债权人、担保债权人、留置权债权人以及债权人的任何代表。此种代表包括代表债权人利益的受让与人、破产管理人、衡平法中的清算人，以及破产债务人或让与人之财产的执行人或管理人。“被告”包括反诉和反请求中处于被告地位的人。涉及票据、所有权凭证、动产契据和投资证
37、券时，“交付”指自愿转移占有。“所有权凭证”包括提单、码头收货单、码头收据、仓单或书面交货指示，也包括任何在正常商业或金融业务中足以证明凭证占有人有权利接收、持有或处置凭证或其所代表之货物的其它凭证。一项凭证要成为所有权凭证，它必须表示出，凭证系由货物保管人开出或是开给货物保管人的，并表示出凭证代表着由货物保管人占有的货物。此种货物必须或者是特定的，或者是特定的一批货物中具有种类物性质的一部分。“过错”指不当行为、不履行义务或违约。涉及货物或证券时，“种类物”指货物或证券的任何一个单位在本质上或根据行业惯例均与任何其它类似单位完全相同。在本法范围内，如果任何特定的协议或单据将不同种类的货物视为
38、同种，则非种类物亦可被视为种类物。“真实”指不存在伪造或仿造。“善意”指有关行为或交易中事实上的诚实。“执票人”指占有所有权凭证、票据或投资证券的人，且所占有的所有权凭证、票据或投资证券必须系对占有人或系对其指定人所开立，或系背书给该占有人或给其指定人，或系为凭票付款（或交货）式或空白背书式。“兑付”指付款或指承兑并付款；或在信用证有规定时，指购买或贴现符合信用证条款的汇票。（22） Insolvency proceeding includes an assignment for the benefit of creditors or other proceeding intended to
39、liquidate or rehabilitate the estate of the person involved.（23） Insolvent means: （A） having generally ceased to pay debts in the ordinary course of business other than as a result of bona fide dispute; （B） being unable to pay debts as they become due; or （C） being insolvent within the meaning of fe
40、deral bankruptcy law.（24） Money means a medium of exchange currently authorized or adopted by a domestic or foreign government. The term includes a monetary unit of account established by an intergovernmental organization or by agreement between two or more countries.（25） Organization means a person
41、 other than an individual.（26） Party, as distinguished from third party, means a person that has engaged in a transaction or made an agreement subject to the Uniform Commercial Code.（27） Person means an individual, corporation, business trust, estate, trust, partnership, limited liability company, a
42、ssociation, joint venture, government, governmental subdivision, agency, or instrumentality, public corporation, or any other legal or commercial entity.（28） Present value means the amount as of a date certain of one or more sums payable in the future, discounted to the date certain by use of either
43、 an interest rate specified by the parties if that rate is not manifestly unreasonable at the time the transaction is entered into or, if an interest rate is not so specified, a commercially reasonable rate that takes into account the facts and circumstances at the time the transaction is entered in
44、to.（29） Purchase means taking by sale, lease, discount, negotiation, mortgage, pledge, lien, security interest, issue or reissue, gift, or any other voluntary transaction creating an interest in property.（30） Purchaser means a person that takes by purchase.“破产程序”或“破产诉讼”包括为债权人利益所作的财产总让与或其它旨在清算或重整债务人财
45、产的程序。“破产”指某人在正常业务中停止清偿债务，或在债务到期时无能力清偿，或被联邦破产法视为失去清偿能力。“金钱”指由本国或外国政府授权或批准作为流通货币之一种的交换媒介。一个人在下列情况下被视为已得到关于某一事实的“通知”：他实际上已知道该事实；或他已经收到有关该事实的通告；或根据当时他所了解的各种事实和客观情况，他有理由知道该事实的存在。一个人对某一事实实际上有所了解时，即为“知道”或“了解”该事实。“发现”或“得知”或含义相似的其它词句，指知道而不是有理由知道。通知失效的时间和条件，不由本法规定。任何人如果在通知他人时采取了正常的合理的通知方式，即被视为已“通知”他人或已向他人“作出”
46、通知，而不论他人是否实际上了解该通知。一个人在下列情况下应被视为已“收到”通知：他注意到了通知；或通知被适当地送至他订立合同时的营业地，或送至因他的行为而使人认为适于接收此类通讯的其它地点。涉及一项特定交易时，当一个组织内从事该交易的人注意到了该组织所收到的涉及该交易的通知时，通知即从该时起生效；无论如何，通知均从该组织行使适当勤勉时该人应该注意到该通知时起生效。如果一个组织具有合理的日常工作制度，使从事该交易的人能够得到所有重要情况的通知，并且该组织实际上也遵守了这些制度，该组织即行使了适当勤勉。适当勤勉并不要求为该组织工作的某个人在其正常职责以外去传送通知，除非该人有理由知道该交易并有理由
47、知道该通知对该交易有重大影响。“组织”包括公司，政府或政府机构，商业信托公司，遗产管理委员会，信托基金会，合伙或联合体，两个或两个以上有共同或联带权益的人，或其它法律上或商业上的实体。“当事方”系与“第三方”相区别，指从事某种本法所规定的交易或订立某种本法所规定的协议的人。“人”包括个人或组织（见第条）。（31） Record means information that is inscribed on a tangible medium or that is stored in an electronic or other medium and is retrievable in perceivable form.（32） Remedy means any remedial right to which an aggrieved party is entitled with or without resort to a tribunal.（33） Representative means a person empowered to act for an
