Series 54: 3.1.6. Associated Persons

Taken from our Series 54 Online Guide

3.1.5. Associated Persons

The Exchange Act defines an associated person of an advisor as:

• Any partner, officer, director, or branch manager of such municipal advisor (or any person occupying a similar status or performing similar functions)

• Any other employee of such municipal advisor who is engaged in the management, direction, supervision, or performance of any activities relating to the provision of advice to or on behalf

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