Page | 2
means any person who buys and sells securities for his/her own account in theordinary course of business.3.5.
Associated person of a broker or dealer
is an employee thereof who, directly exercisescontrol of supervisory authority, but does not include a salesman, or an agent or a personwhose functions are solely clerical or ministerial.3.6.
is any person who acts as intermediary in making deliveries uponpayment to effect settlement in securities transactions.3.7.
is an organized marketplace or facility that brings together buyers and sellersand executes trades of securities and/or commodities.3.8.
means: (a) the issuer; (b) a director or officer (or person performing similarfunctions) of, or a person controlling the issuer; (c) a person whose relationship or formerrelationship to the issuer gives or gave him access to material information about the issuer orthe security that is not generally available to the public; (d) a government employee, ordirector, or officer of an exchange, clearing agency and/or self-regulatory organization who hasaccess to material information about an issuer or a security that is not generally available to thepublic; or (e) a person who learns such information by a communication from any of theforegoing insiders.3.9.
are contracts which provide for the performance of future services or thepayment of future monetary considerations at the time of actual need, for which planholderspay in cash or installment at stated prices, with or without interest or insurance coverage andincludes life, pension, education, interment, and other plans which the Commission may fromtime to time approve.3.10.
is a person who, acting alone or with others, takes initiative in founding andorganizing the business or enterprise of the issuer and receives consideration therefor.3.11.
is the document made by or on behalf of an issuer, underwriter or dealer tosell or offer securities for sale to the public through a registration statement filed with theCommission.3.12.
is the application for the registration of securities required to befiled with the Commission.3.13.
is a natural person, employed as such or as an agent, by a dealer, issuer orbroker to buy and sell securities.3.14.
is a security evidenced by electronic or similar records.