Exchange Currency

associated person

1. In the securities market, anyone who is affiliated with a Nasdaq firm. The individual does not have to be registered with the NASD. 2. In the futures market, anyone who works with or is affiliated with a broker, advisor, futures commission merchant, or similar entity. This individual is required to be registered with either the Commodity Futures Trading Commission or the National Futures Association.

Related information about associated person:
  1. Associated Person (AP)
    An Associated Person (AP) is an individual who solicits orders, customers or customer funds (or who supervises persons so engaged) on behalf of an FCM, IB , ...
     
  2. Associated Person Definition | Investopedia
    The name given to participants within the futures market that are involved in the solicitation or facilitation of transacting customer orders, the maintenance of ...
     
  3. Dispute Resolution Glossary - FINRA
    Associated Person – An associated person is any person engaged in the investment banking or securities business who is directly or indirectly controlled by a ...
     
  4. Frequently Requested Documents
    Exchange Act definition of "associated person" of a broker-dealer: Section 3(a)( 18). The term "person associated with a broker or dealer" or "associated person ...
     
  5. What is associated person? definition and meaning
    Definition of associated person: In the securities market, anyone who is affiliated with a Nasdaq firm. The individual does not have to be registered with the ...
     
  6. CFTC Glossary - CFTC
    Associated Person (AP): An individual who solicits or accepts (other than in a clerical capacity) orders, discretionary accounts, or participation in a commodity ...
     
  7. Associated persons - Municipal Securities Rulemaking Board
    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 ...
     
  8. Associated Person
    Associated Person is the commodity and futures industry is also commonly called a commodity broker.