Associated Person of a Broker or Dealer Law and Legal Definition
Associated person of a broker or dealer means:
a. any partner, officer, director, or branch manager of such broker or dealer, or any person occupying a similar status or performing similar functions;
b. any person directly or indirectly controlling, controlled by, or under common control with such broker or dealer; or
c. any employee of such broker or dealer. [15 USCS § 78c].
Legal Definition list
- Associated Person
- Associated Equipment (Gaming Law)
- Associated Equipment
- Associated Actors and Artists of America (AAAA)
- Associate's Degree (Education)
- Associated Person of a Broker or Dealer
- Associated Person of a Transfer Agent
- Associated Property
- Association for Crime Scene Reconstruction [ACSR]
- Association for Institutional Research [AIR]
- Association for Investment Management and Research
