Articles on: Investment Glossary

Associated Person

Under industry rules,
(i) a natural person who is registered or has applied for registration under FINRA rules or
(ii) a sole proprietor, partner, officer, director, or branch manager of a member, or other natural person occupying a similar status or performing similar functions, or a natural person engaged in the investment banking or securities business who is directly or indirectly controlling or controlled by a member, whether or not that person is registered.

Updated on: 24/04/2023

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