Tiêu đề unf Reg2 Securities Regulation Code.docx ✅

Macaraeg|Page 2 of need, for which plan holders pay in cash or installment at stated prices, with or without interest or insurance coverage and includes life, pension, education, interment, and other plans which the Commission may from time to time approve. Prospectus is the document made by or an behalf of an issuer, underwriter or dealer to sell or offer securities for sale to the public through registration statement filed with the Commission. Registration Statement is the application for the registration of securities required to be filed with the Commission. Uncertificated Security is a security evidenced by electronic or similar records. [Persons] Issuer is the originator, maker, obligor, or creator of the security. Broker is a person engaged in the business of buying and selling securities for the account of others. Dealer means many person who buys sells securities for his/her own account in the ordinary course of business. Associated Person of a Broker or Dealer is an employee therefor whom, directly exercises control of supervisory authority, but does not include a salesman, or an agent or a person whose functions are solely clerical or ministerial. Clearing Agency is any person who acts as intermediary in making deliveries upon payment effect settlement in securities transactions. Insider means (a) the issuer; (b) a director or officer (or any person performing similar functions) of, or a person controlling the issuer; (c) a person whose relationship to the issuer gives or gave him access to material information about the issuer or the security that is not generally available to the public; (d) A government employee, director, or officer of an exchange, clearing agency and/or self- regulatory organization who has access to material information about an issuer or a security that is not generally available to the public; or (e) a person who learns such information by a communication from any forgoing insiders. Promoter is a person who, acting alone or with others, takes initiative in founding and organizing the business or enterprise of the issuer and receives consideration therefor. Salesman is a natural person, employed as such as an agent, by a dealer, issuer or broker to buy and sell securities. Underwriter is a person who guarantees on a firm commitment and/or declared best effort basis the distribution and sale of securities of any kind by another company.