associated person investment & finance definition
A person engaged in the investment-banking or securities business who is either directly or indirectly controlled by a member firm of the National Association of Securities Dealers.
Associated person - An associated person is the world of stock markets and securities market means someone who is associated, or affiliated with a Nasdaq company. This person doesn't have to be registered with the NASD, in order to be associated.
associated person
commodities brokers
futures broker
Definition: The designation or title given to those in the futures industry that are involved in the solicitation of funds for investment in the futures markets and/or transacting customer ...
Associated Person (AP)
An individual who solicits or accepts (other than in a clerical capacity) orders, discretionary accounts, or participation in a commodity pool, or supervises any individual so engaged, ...
Associated Person: 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.
Associated Person (AP) - An individual registered with the Commodity Futures Trading Commission who solicits orders on behalf of a Futures Commission Merchant, an Introducing Broker, a Commodity Trading Advisor or a Commodity Pool Operator.
Associated Person (AP) - 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, ...
Associated person (AP) - A person, commonly called a commodity broker, associated with and solici ting customers and orders for a futures commission merchant or introducing broker.
Associated Person
An AP solicits orders, customer funds and customers, or one who supervises persons in charge of such duties, and acts on behalf of an introducing broker, commodity trading advisor, futures commission merchant, ...
ASSOCIATED PERSON - (1) In the case of a broker-dealer (other than a dealer bank), any employee of the broker-dealer, other than persons whose functions are solely clerical or administrative; any partner, officer, ...
Associated persons: Employees of a brokerage firm who are required to be licensed.
ATS: see Alternative Trading System ...
Allows members of the public to obtain certain types of disciplinary and registration information regarding member firms and associated persons. NASD Rules
The numbered rules set forth in the NASD Manual beginning with the Rule 0100 Series.
Also known as a blanket or standing assurances by members or associated persons, this easy-to-borrow list is updated every 24 hours.
Registered Commodity Representative (RCR)/Associated Person (AP): an employee, partner or officer of a FCM, IB, CTA, or CPO, duly registered and licensed to conduct the activities of a FCM, IB, CTA, or CPO.
This first area will focus on general information about the firm, including any branch offices, the ownership and registration of the principals and Associated Persons (APs).
If certain conditions are met, an applicant for registration as an associated person, floor broker, ...
An account that a Futures Commission Merchant carries for itself or a closely related person, such as a parent, subsidiary or affiliate company, general partner, director, Associated Person, or an owner of ten percent or more of the capital stock.
A person paid a fee or commission for acting as an agent in making contracts or sales; floor broker in commodities futures trading is a person who actually executes orders on the trading floor of an exchange; account executive (associated person) is ...
SROs may charge a fee and, unlike the SEC, do not have to act within 45 days. "Associated persons" of broker-dealers, including their salespeople, must register with an SRO and satisfy applicable qualification requirements.
It exercises regulatory Authority with the CFTC over Futures Commission Merchants, Introducing Brokers, Commodity Trading Advisors, Commodity Pool Operators and Associated Persons (salespersons) of all of the foregoing.
professional conduct and financial responsibility on the part of the individuals and organizations that are its members: Futures Commission Merchants, Introducing Brokers, Commodity Trading Advisors, Commodity Pool Operators, and Associated Persons.
 See also: Broker, Trading, Future, Commission, Market
  
|
RSS
