SECURITIES REGULATION CODE

Document Type
Essay
Pages
1 pages
Word Count
237 words
School
N/A
Course Code
N/A
SECURITIES REGULATION CODE
1. The law regulating the selling of securities like shares of stocks is ________________
effective in the year _______________.
2. The government agency assigned to implement the law is __________________
headed by the _________________ and ____________________; all appointed with
a term of _______________ and majority of them must be ___________________.
It has jurisdiction and supervision Over all ___________________,
___________________,, and _____________________.
3. _________________ are shares participation or interests in a corporation or in
commercial enterprise evidenced by a written instrument or certificate, written or
electronic in character.
4. ______________ refers to the obligor or creator of a security.
5. ______________ any person engaged in the business of buying and selling securities
for other person’s account.
6. ______________ any person engaged in the business of buying and selling securities
for his own account.
7. ______________ an organized market place that brings together buyers and sellers
of securities.
8. ______________ a general term that includes issues, or persons very close to the
issuer who has knowledge about the securities not available to outsiders.
9. ______________ a person who guarantees the distribution and sale of securities.
10. The law requires the _______________ of securities before they can be sold in public
except ______________ and __________________.

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