Series 54: 3.1.6. Associated Persons

Taken from our Series 54 Online Guide

3.1.6. 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 of a municipal entity or obligated pers

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Series 54: 3.1.6. Associated Persons

Taken from our Series 54 Online Guide

3.1.6. Associated Persons

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