associated person

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associated partner
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İngilizce - İngilizce
An individual who solicits orders, customers, or customer funds on behalf of a Futures Commission Merchant, an Introducing Broker, a Commodity Trading Advisor, a Commodity Pool Operator or a Leverage Transaction Merchant who is registered with the Commodity Futures Trading Commission
The technical term for a person who works for a brokerage house and takes orders See: broker
A person associated with any futures commission merchant, introducing broker, commodity trading advisor, commodity pool operator, or leverage transaction merchant as a partner, officer, employee, consultant, or agent Also, any person occupying a similar status or performing similar functions, in any capacity that involves: (a) the solicitation or acceptance of customers' orders, discretionary accounts, or participation in a commodity pool (other than in a clerical capacity); or (b) the supervision of any person or persons so engaged
A person engaged in the investment banking or securities business who is directly or indirectly controlled by an NASD member, whether or not this person is registered or exempt from registration with NASD Every sole proprietor, partner, officer, director, or branch manager of any NASD member
A person associated with any futures commission merchant, introducing broker, commodity trading advisor, commodity pool operator or leverage transaction merchant as a partner, officer, employee, consultant, or agent Also, any person occupying a similar status or performing similar functions, in any capacity that involves; (a) the solicitation or acceptance of customers' orders, discretionary accounts, or participation in a commodity pool (other than in a clerical capacity); or (b) the supervision of any person or persons so engaged
An individual who solicits orders, customers or customer funds on behalf of a Futures Commission Merchant, and Introducing Brokers, a Commodity Trading Advisor or a Commodity Pool Operator and who is registered with the Commodity Futures Trading Commission
A New York Stock Exchange, Inc (NYSE) registration category An outside director, or other person, who is in a control relationship with a member organization
An individual who solicits orders, customers, or customer funds (or who supervises persons performing such duties) on behalf of a Futures Commission Merchant, an Introducing Broker, a Commodity Trading Adviser, or a Commodity Pool Operator
Any partner, officer, director or other employee of a broker or a dealer other than persons whose functions are solely clerical or administrative; in the case of a bank dealer, the term refers only to persons who are involved in the bank's dealer activities (or have some control over them) Associated persons are most often (but not always) qualified in one of the four qualification categories specified in MSRB rules See: FINANCIAL AND OPERATIONS PRINCIPAL; MUNICIPAL SECURITIES PRINCIPAL; MUNICIPAL SECURITIES REPRESENTATIVE; MUNICIPAL SECURITIES SALES PRINCIPAL
An individual who solicits orders, customers or customer funds on behalf of a futures commission merchant, an introducing broker, a commodity trading advisor or a commodity pool operator and who is registered with the CFTC
associated person

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    as·so·ci·a·ted per·son

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    /əˈsōsēˌātəd ˈpərsən/ /əˈsoʊsiːˌeɪtəd ˈpɜrsən/