(2) "Person" refers to an individual, a joint stock limited company, a partnership organization, an association, a joint stock company, a trust company, an organization that is not registered as a joint stock company, the government or a political organization of the government. The term "trust company" in this paragraph shall only include trust companies whose beneficiary's interests are based on a certain security.
(3) The term "sale" or "promotion" includes a contract for the sale or paid treatment of securities or securities interests. "Selling quotation", "selling quotation" or "quotation" shall include quotations that lead or induce interest in buying securities or valuable securities. The terms defined in this paragraph and the "tender offer" used in Section 5 (c) shall not include the issuer (or any person who directly or indirectly controls the issuer or is controlled by the issuer, or is directly or indirectly controlled by the issuer) and any underwriter, or is or will be directly controlled by the issuer, or is directly controlled by the issuer. Any securities given or delivered, or as dividends from the account where securities or anything else are purchased, shall be explicitly assumed to be offered and sold as part of the purchased goods. When securities are issued or transferred for the first time, the rights or privileges of issuance or transfer give the holders of these securities the right to convert them into another kind of securities of the same issuer or another person, or give them the right to subscribe for another kind of securities of the same issuer or another person. This right can only be exercised in the future and should not be regarded as the quotation or sale of these securities; However, the issuance or transfer of these securities due to the exercise of these conversion rights or subscription rights shall be regarded as the sale of these securities.
(4) The term "issuer" means any person who issues or intends to issue any securities. However, for meetings without directors (or persons exercising similar functions), certificates of deposit, certificates of equity trust, certificates of credit secured by securities or certificates of equity or equity of investment trust companies, or certificates of fixed, strictly managed or single form, the term "issuer" refers to the person who engages in the business activities of depositors or managers according to the provisions of trust companies and other agreements or instruments under which such securities are issued. However, if an association stipulates the limited liability of any or all its members in terms, and the association is not organized by a joint-stock company, trust company, committee or other corporate body, the trustee or its members shall not be liable as the issuer of any securities issued by the association, trust company, committee or other corporate body. With regard to such equipment trust certificates or similar securities, the term "issuer" refers to the person whose equipment or property is or will be used by him; As for the right to extend the small interest in oil, natural gas or other minerals, the term "issuer" refers to the owner of any such right or the owner (whether in whole or in part) of any interest in any such right, which generates a small interest for the purpose of publicly selling securities.
(5) "Committee" means the United States Federal Trade Commission.
(6) "Territory" refers to Puerto Rico, the Philippine Islands, the Panama Canal Zone, the Virgin Islands and the island possessions of the United States.
(7) "Interstate trade" refers to securities trading or trade between several states or between the District of Columbia or any quasi-state of the United States and any state or another quasi-state, or between foreign countries and any state, quasi-state or District of Columbia, or within the District of Columbia, as well as transportation and communication related to this.
(8) "Registration Report" means the report specified in Section 6, including any amendments thereto, and any report, document or memorandum attached to it as part of the report or for reference.
(9) "Writing" or "writing" shall mean printing, printing or any written communication means.
(10) "instruction" refers to any instruction, notice, circular, advertisement, letter or message transmitted by communication, written form or radio or television to make an offer for the sale of securities or confirm the sale of any securities. However, (a) when the information sent or sent after the effective date of the registration report (excluding the instructions allowed in subsection (b) of 10) is proved to be in compliance with the written instructions in subsection (a) of 10, or sent or sent to the person who should receive the information at the same time, the information shall not be regarded as an instruction; (b) Notices, circulars, advertisements, letters or information about securities, if they state from whom the written specifications specified in Section 10 were obtained, and they only identify the securities, state their prices, state through whom the instructions will be executed, and include other contents that may be allowed by the Committee in accordance with regulations or rules deemed necessary and appropriate for the protection of public interests and investors, and in accordance with the conditions specified therein.
(1 1) package sale refers to any person who buys securities from the issuer for securities distribution, or provides or sells securities for the issuer for securities distribution, or participates in or directly or indirectly participates in any of these things, or participates in or participates in the direct or indirect subscription of any of these things. However, this term should not include those whose interest is limited to collecting fees from underwriters or dealers, but the fees do not exceed the fees that dealers or sellers usually or habitually charge. In this paragraph, the term "issuer" shall include any person other than the issuer who directly or indirectly controls or is controlled by the issuer, or is directly or indirectly under common control with the issuer.
(12) A dealer refers to any person who, as an agent, broker or principal, directly or indirectly engages in quotation, buying, selling or other securities trading activities of securities issued by others for part or all of the time.
(13) "Insurance company" refers to a company established in the form of an insurance company. Its basic and main business activities are underwriting or reinsurance of risks insured by insurance companies, and it is subject to the supervision of insurance commissioners or officials or institutions in similar states or regions, or the District of Columbia; Or anyone who can act as a receiver or similar officer of the company or any liquidation agent.
(14) "Independent account" means that the insurance company abides by the laws of any state or region in the United States, the District of Columbia or the Canadian Special Administrative Region or anyone in the Canadian Special Administrative Region. These laws stipulate that the income, gains and losses of assets included in such accounts, whether realized or not, should be credited to or withdrawn from the account if they conform to the applicable contract, regardless of other income, gains or losses of the insurance company.