Registration

Entry in an official registry or record that lists names of persons in an occupation who have satisfied specific requirements or attained a certain level of education and paid a registration fee.

Registration statement

The requisite filing by a company with the SEC of information in connection with the registration of securities prior to a company publicly offering those securities for sale. The registration statement includes a copy of the draft prospectus that will be used by the company in offering securities for sale. In approving a registration, the SEC focuses on the adequacy of the disclosures, and does not rule upon the fairness or quality of the securities as an investment.

Regulated activity

Any type of business falling within the scope of FSMA. The Act contains a general prohibition on the carrying out of such an activity in the UK unless it is authorised or exempt. The wide-ranging activities include: accepting deposits; acting as a trustee in an authorised unit trust scheme; effecting or carrying out insurance contracts; dealing in investments as principal or agent; managing the underwriting capacity of a Lloyd’s syndicate as a managing agent; arranging deals in contracts of insurance written at Lloyd’s, etc.; agreeing to carry on a regulated activity which is carried on by way of business. Insurance mediation will be regulated from 2005. (Visit www.fsa.gov.uk).