Business Law - Big Scoop

Is the originator, maker, obligor, or creator of the security.

Is a person engaged in the business of buying and selling securities for the account of others.

Any person who buys and sells securities for his/her own accounts in the ordinary course of business.

Is any entity that provides facility for the performance of the following activities:

1. 1. make deliveries of securities and/or payments in connection with transactions in securities.

2. 2. reduce the number of settlements of securities transactions or allocate settlement responsibilities in accordance with SEC rules.

3. 3. provide the means for the central handling of securities so that transfers, loans, pledges and similar transactions can be made by booking entry or otherwise facilitate the settlement of securities transactions without physical delivery of securities certificates.

Is an organized marketplace or facility that brings together buyers and sellers and executes trades of securities and/or commodities.

Are contracts, agreements, deeds or plans for the benefit of the planholders which provide performance of future service/s.

A person who, acting alone or with others, takes initiative in founding and organizing the business or enterprise of the issuer and receives consideration therefore. 

Is the document made by or on behalf of an issuer, underwriter or dealer to sell or offer securities for  sale to the public through a registration statement filed with the SEC.

Is the application for the registration of securities required to be filed with the SEC.s

Is security evidenced by electronic or similar records.