Registered Security

DEFINITION of 'Registered Security'

1. The name given to securities whereby ownership is registered with the issuing company or their agent.

2. Securities that are unavailable for sale due to restrictions placed upon them at the time of issue.

BREAKING DOWN 'Registered Security'

1. This is the common method for handling securities. It provides the issuing company with the necessary stockholder information needed to pay out dividends and deliver notices of important company activity.

2. These securities cannot be sold or transferred to other investors unless certain criteria are met under regulations.

Also known as restricted stock.

RELATED TERMS
  1. Security

    A financial instrument that represents an ownership position ...
  2. Covered Security

    A class of securities, created by the National Securities Market ...
  3. Holder Of Record

    The name of the person who is the registered owner of a security ...
  4. New Issue

    A reference to a security that has been registered, issued and ...
  5. Registered Holder

    Shareholders who hold their shares directly with a company.
  6. Shelf Offering

    A Securities and Exchange Commission (SEC) provision that allows ...
Related Articles
  1. Professionals

    The Uniform Securities Act (USA) - Definitions Part 6

    FINRA/NASAA Series 63 - The Uniform Securities Act (USA) - Definitions Part 6. This section defines and explains the term "sale".
  2. Professionals

    HOLDING SECURITIES

    Holding Securities When an investor opens an account, they must decide where they want their securities to be held. The following methods are available: Transfer and ship Transfer and hold in ...
  3. Professionals

    Federal Covered Securities

    FINRA/NASAA Series 66 - Federal Covered Securities. This section explains federal covered securities and sample exam questions.
  4. Professionals

    Viatical Settlements and Definition of Sale

    FINRA/NASAA Series 63 - Viatical Settlements and Definition of Sale. In this section defines and explains "sale", transactions which are not considered a "sale" and viatical settlements.
  5. Professionals

    Holding Securities

    When an investor opens an account they must decide where they want their securities to be held. The following methods are available: Transfer and ship Transfer and hold in safekeeping Hold in ...
  6. Professionals

    Securities

    FINRA/NASAA Series 63 - Securities. In this section securities registration and three tests to determine when an investment contract is a security.
  7. Professionals

    State Securities and Insurance Laws

    State Securities and Insurance Laws
  8. Professionals

    Issuing Corporate Securities

    Series 62
  9. Professionals

    Issuing Corporate Securities

    Series 55
  10. Professionals

    Agents: Registration

    FINRA/NASAA Series 63 - Agents: Registration. This section explains the registration and exemptions for broker-dealer/agents.
RELATED FAQS
  1. What are restricted shares?

    Understand what a restricted share is. Learn why a company would issue restricted shares to employees and why an employee ... Read Answer >>
  2. What's the difference between primary and secondary capital markets?

    Learn how in the primary capital market, securities are issued for the first time, while in the secondary market, investors ... Read Answer >>
  3. How is trading volume regulated by the Securities and Exchange Commission (SEC)?

    Learn about how the SEC uses the trading volume formula as one requirement for an exemption to the ban on the resale of restricted ... Read Answer >>
  4. What protects an investor’s interest in the case of terrorist sabotage, or act of ...

    Currently, most stock ownership is done electronically thru the combined effort of the brokerage firms and the transfer agents ... Read Answer >>
  5. How do I know if I am buying unregistered securities or stocks?

    All securities, including stocks, bonds and notes, must be registered with the Securities and Exchange Commission (SEC) before ... Read Answer >>
  6. What are the characteristics of a marketable security?

    Find out what it takes for a financial asset to be considered a marketable security, including its liquidity, intent of use ... Read Answer >>
Hot Definitions
  1. Return On Invested Capital - ROIC

    A calculation used to assess a company's efficiency at allocating the capital under its control to profitable investments. ...
  2. Law Of Demand

    A microeconomic law that states that, all other factors being equal, as the price of a good or service increases, consumer ...
  3. Cost Of Debt

    The effective rate that a company pays on its current debt. This can be measured in either before- or after-tax returns; ...
  4. Yield Curve

    A line that plots the interest rates, at a set point in time, of bonds having equal credit quality, but differing maturity ...
  5. Stop-Limit Order

    An order placed with a broker that combines the features of stop order with those of a limit order. A stop-limit order will ...
  6. Keynesian Economics

    An economic theory of total spending in the economy and its effects on output and inflation. Keynesian economics was developed ...
Trading Center