Associated Person

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Associated Person

1. On a futures exchange, any person affiliated with an investment advisory firm, brokerage or futures commission merchant. An associated person must be registered with the CFTC and must abide by the regulations of the exchange on which he/she works.

2. A person affiliated with a company traded on NASDAQ.
References in periodicals archive ?
Through the expungement process, associated persons may seek to remove allegations made by customers from the Central Registration Depository (CRD), the central licensing and registration system for the U.
He says firms should be getting in touch with people deemed to be associated persons to explain that they do not condone tax evasion.
This is vital if they are to avoid liability where their associated persons knowingly or deliberately and dishonestly assist another company or individual to commit tax evasion or aid and abet another person in doing so," Blake Morgan said.
In response to these continued Iranian threats, the Administration today announces that it has designated 18 entities and individuals supporting Iran's ballistic missile program and for supporting Iran's military procurement or Iran's Islamic Revolutionary Guard Corps (IRGC), as well as an Iran-based transnational criminal organization and associated persons," State Department Spokesperson Heather Nauert claimed on Tuesday.
The Treasury designated seven entities and five individuals for "engaging in activities in support of Iran's military procurement or the IRGC, as well as an Iran-based transnational criminal organization and three associated persons," according to the State Department spokesperson Heather Nauert.
Moilanen does not own any shares in Eltel nor does any closely associated persons of him.
HPI, its affiliates and their officers were accused of violating the securities law that prohibited the sale of unregistered securities and selling without registration as brokers, dealers, salesman and associated persons.
With the move, T3 has become one of the largest proprietary trading broker dealers in the United States and a market leader in proprietary trading with over 700 associated persons, the company said.
Fans must note that the reports lack official comments from the associated persons.
FINRA reported fining broker-dealers and associated persons $57 million in 2013.
FINRA's board authorised it to issue a regulatory notice seeking comment on a proposal to establish a registration requirement for associated persons who are: primarily responsible for the design, development or for directing the significant modification of an algorithmic strategy; or responsible for supervising such functions.
Moreover, SMS service has been launched which will be used for conveying dengue related messages to various political and social organizations, health associated persons and media.
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