(1) Un fiduciario autenticante, registrador, agente de transferencias u otra persona a quien el emisor le confió la firma del certificado de valor o de certificados de valor similares, o la preparación inmediata para firma de cualquiera de ellos, o
(2) un empleado del emisor o por cualquiera de las personas mencionadas en el inciso (1) de esta sección a quien se le confió el manejo responsable del certificado de valor.
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