Corpo Tunnel Crossord

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ACROSS
3

Any person who buys and sells securities Ior
his or her own account in the ordinary course
oI business. (3.4)
4

Originator, maker, obligor, or creator oI the
security (3.2)
6

UncertiIicated security is security evidenced
by or similar records. (3.14)
11 Registration is the application Ior the
DOWN
1

Pre-need plans are contracts which provide
Ior the perIormance oI services or the
payment oI such monetary considerations at
the time oI actual need (3.9)
2

An insider may be a government employee, or
director, or oIIicer oI an exchange, clearing
agency and/or selI-regulatory organization
who has access to inIormation about an
registration oI securities required to be Iiled
with the Commission. (3.12)
14

director is a person other than an oIIicer
or employee oI the corporation, its parent or
subsidiaries, or any other individual having a
relationship with the corporation, which would
interIere with the exercise oI independent
judgment in carrying out
15

Person who takes initiative in Iounding and
organizing the business or enterprise oI the
issuer and receives consideration thereIor
(3.10)
16

Document made by or on behalI oI an issuer,
underwriter or dealer to sell or oIIer securities
Ior sale to the public through a registration
statement Iiled with the Commission (3.11)
17

Person engaged in the business oI buying and
selling securities Ior the account oI others.
(3.3)

issuer or a security that is not generally
available to the public (3.8)
5

A natural person, employed as such or as an
agent, by a dealer, issuer or broker to buy and
sell securities (3.13)
6

An organized marketplace or Iacility that
brings together buyers and sellers and
executes trades oI securities and/or
commodities (3.7)
7

contract means a contract, transaction
or scheme (collectively "contract") whereby a
person invests his money in a common
enterprise and is led to expect proIits primarily
Irom the eIIorts oI others; presume to exist
whenever a person seeks to use t
8

agency is any person who acts as
intermediary in making deliveries upon
payment to eIIect settlement in securities
transactions (3.6)
9

A Iinancial instrument whose value changes in
response to the change in several Iactors such
as a speciIied interest rate, security price; this
includes but is not limited to options and
warrants. (R3, 1.F)
10

Similar to bonds except that they are usually
Ior a shorter term and may or may not be
accompanied by a mortgage. They are oIten
issued on the general credit oI the issuer
corporation.
12

Shares, participation or interests in a
corporation or in a commercial enterprise or
proIit-making venture and evidenced by a
certiIicate, contract, instrument, whether
written or electronic in character. (3.1)
13

Person who guarantees on a Iirm commitment
and or declared best eIIort basis the
distribution and sale oI securities oI any kind
by another company (3.15)
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