Description of person "associated with" securities exchange or applicant for registration.

  1. Law
  2. Nevada Revised Statutes
  3. Securities (Uniform Act)
  4. Description of person "associated with" securities exchange or applicant for registration.

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A person is "associated with" a securities exchange or an applicant for registration as such if the person is:

1. An officer, director, shareholder, employee or other agent, client, customer or member of the securities exchange or applicant;

2. A partner, officer or director of a member of the securities exchange; or

3. An employee of a member of the securities exchange who is licensed pursuant to this chapter or registered pursuant to the Securities Exchange Act of 1934.

(Added to NRS by 1997, 503)


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