Person Associated With a Security Based Swap Dealer Law and Legal Definition
The term "person associated with a security-based swap dealer or major security-based swap participant" or "associated person of a security-based swap dealer or major security-based swap participant" means:
a. any partner, officer, director, or branch manager of such security-based swap dealer or major security-based swap participant (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 security-based swap dealer or major security-based swap participant; or
c. any employee of such security-based swap dealer or major security-based swap participant. [15 USCS § 78c].
Legal Definition list
- Person Associated with a Public Accounting Firm
- Person Associated With a Nationally Recognized Statistical Rating Organization
- Person Associated With a Municipal Securities Dealer
- Person Associated With a Government Securities Broker
- Person Acting as a Parent
- Person Associated With a Security Based Swap Dealer
- Person Entitled to Enforce an Instrument
- Person Entitled to Priority Consideration [Civil Service Regulations]
- Person Holding a Casino Interest
- Person Indemnified
- Person of Interest
