1.__Administrator. "Administrator" means the Securities Administrator under section 16601.

2.__Agent. "Agent" means an individual, other than a broker- dealer, who represents a broker-dealer in effecting or attempting to effect purchases or sales of securities or represents an issuer in effecting or attempting to effect purchases or sales of the issuer's securities.__A partner, officer or director of a broker-dealer or issuer or an individual having a similar status or performing similar functions is an agent only if the individual otherwise comes within the meaning of the term "agent."__"Agent" does not include an individual excluded by rule adopted or order issued under this chapter.__Rules adopted pursuant to this subsection are routine technical rules as defined in Title 5, chapter 375, subchapter 2-A.

3.__Bank. "Bank" means:

A.__A banking institution organized under the laws of the United States;

B.__A member bank of the Federal Reserve System;

C.__A banking institution, whether incorporated or not, doing business under the laws of a state or of the United States, a substantial portion of the business of which consists of receiving deposits or exercising fiduciary powers similar to those permitted to be exercised by national banks under the authority of the Comptroller of the Currency pursuant to Section 1 of United States Public Law 87-722, 12 United States Code, Section 92a, and that is supervised and examined by a state or federal agency having supervision over banks and that is not operated for the purpose of evading this chapter; and

D.__A receiver, conservator or other liquidating agent of any institution or firm described in paragraph A, B or C.

4.__Broker-dealer. "Broker-dealer" means a person engaged in the business of effecting transactions in securities for the account of others or for the person's own account. "Broker- dealer" does not include:

A.__An agent;

B.__An issuer;