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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 perso...

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

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

By: Securities Institute Staff
Instructor
SIA Instructor Verified SIA Instructor
2 hours 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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