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March 4, 2026

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Last updated: March 4, 2026

Home  ›  Series 63  ›  Is an “issuer” of securities a company, or an individual/natural person?

Is an “issuer” of securities a company, or an individual/natural…

Question: Is an “issuer” of securities a company, or an individual/natural person?

By: Securities Institute Staff
Instructor
SIA Instructor Verified SIA Instructor
3 weeks ago

The Uniform Securities Act defines an “issuer” as, “any person who issues or proposes to issue any security.” The word “person” includes individuals and entities such as corporations, partnerships, and estates.

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