Who is considered an associated person?
Definition of Associated Person Associated Person is any individual under the control of a broker dealer, issuer or bank including employees, officers, and directors, as well as those individuals who control or have common control of a broker dealer, issuer or bank.
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Who can be considered an associated person of a business?
A sole proprietor, partner, officer, director, branch manager of the member firm, or any person occupying a similar status of performing a similar function.
Who is not considered an associated person?
In futures trading, the term "associated person" refers to particular people within the employ of a broker or dealer that perform the role of sales or supervision of sales. Clerical and administrative employees are not included.
Which of the following would be an associated person of a firm?
Associated Person of the Firm means any Access Person, and any employees, including independent contractors who perform advisory functions on behalf of the Firm.
Is a financial advisor an associated person?
Associated person of any investment adviser means any person who for compensation refers, solicits, offers, or negotiates for the purchase or sale of investment advisory services.
Who can be considered an associated person of a business?
A sole proprietor, partner, officer, director, branch manager of the member firm, or any person occupying a similar status of performing a similar function.
What is an associated or control person?
Definition of Associated Person Associated Person is any individual under the control of a broker dealer, issuer or bank including employees, officers, and directors, as well as those individuals who control or have common control of a broker dealer, issuer or bank.
What is an associated person of a broker dealer?
The Act defines an "associated person" of a broker-dealer as any partner, officer, director, branch manager, or employee of the broker-dealer, any person performing similar functions, or any person controlling, controlled by, or under common control with, the broker-dealer.
Which of the following would be an associated person of a firm?
Associated Person of the Firm means any Access Person, and any employees, including independent contractors who perform advisory functions on behalf of the Firm.
Who is considered associated person?
Associated person is defined as “a person” who “performs services for or on behalf” of a “relevant body”, either an employee, an agent of the relevant body, or a person acting in any of these identified capacities.
Who is not considered an associated person?
In futures trading, the term "associated person" refers to particular people within the employ of a broker or dealer that perform the role of sales or supervision of sales. Clerical and administrative employees are not included.
What is an associated person of a broker dealer?
The Act defines an "associated person" of a broker-dealer as any partner, officer, director, branch manager, or employee of the broker-dealer, any person performing similar functions, or any person controlling, controlled by, or under common control with, the broker-dealer.
Which of the following would be an associated person of a firm?
Associated Person of the Firm means any Access Person, and any employees, including independent contractors who perform advisory functions on behalf of the Firm.
Who is not considered an associated person?
In futures trading, the term "associated person" refers to particular people within the employ of a broker or dealer that perform the role of sales or supervision of sales. Clerical and administrative employees are not included.
Who is considered an associated person?
The term "Associated Person" means: (1) a natural person registered under FINRA rules; or (2) a sole proprietor, or any partner, officer, director, branch manager of the Applicant, or any person occupying a similar status or performing similar functions; (3) any company, government or political subdivision or agency or ...
Who can be considered an associated person of a business?
A sole proprietor, partner, officer, director, branch manager of the member firm, or any person occupying a similar status of performing a similar function.
What is an associated person of a broker dealer?
The Act defines an "associated person" of a broker-dealer as any partner, officer, director, branch manager, or employee of the broker-dealer, any person performing similar functions, or any person controlling, controlled by, or under common control with, the broker-dealer.
Who is an associated person of a firm?
Associated Person of the Firm means any Access Person, and any employees, including independent contractors who perform advisory functions on behalf of the Firm.
Which of the following would be an associated person?
An associated person (AP) is an individual who solicits orders, customers or customer funds (or who supervises persons so engaged) on behalf of a futures commission merchant (FCM), retail foreign exchange dealer (RFED), introducing broker (IB), commodity trading advisor (CTA) or commodity pool operator (CPO).
What is an associated person of a broker dealer?
The Act defines an "associated person" of a broker-dealer as any partner, officer, director, branch manager, or employee of the broker-dealer, any person performing similar functions, or any person controlling, controlled by, or under common control with, the broker-dealer.
What is an associated person in finance?
Associated persons are those in futures trading employed by broker/dealer firms involved in sales or supervision of sales. These individuals have a view of order flow that may not be public. They are required to register with regulatory agencies.
Who is considered an associated person?
Associated persons are those in futures trading employed by broker/dealer firms involved in sales or supervision of sales. These individuals have a view of order flow that may not be public. They are required to register with regulatory agencies.
Which of the following would be an associated person of a firm?
Associated Person of the Firm means any Access Person, and any employees, including independent contractors who perform advisory functions on behalf of the Firm.
What is an associated person of a broker dealer?
The Act defines an "associated person" of a broker-dealer as any partner, officer, director, branch manager, or employee of the broker-dealer, any person performing similar functions, or any person controlling, controlled by, or under common control with, the broker-dealer.
Is a registered representative an associated person?
In the case of a broker dealer; registered reps, principals, officers and directors are all considered associated persons. As such, the are required to be registered.