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:
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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 , ...
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The name given to participants within the futures market that are involved in the solicitation or facilitation of transacting customer orders, the maintenance of ...
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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 ...
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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 ...
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Associated Person (AP): An individual who solicits or accepts (other than in a clerical capacity) orders, discretionary accounts, or participation in a commodity ...
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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 ...
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Associated Person is the commodity and futures industry is also commonly called a commodity broker.