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The following term has the meaning set out below when used in sections 3271 through 3281:
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“responsible person” A partner, Director, officer, employee or agent of a Dealer Member who:
- exercises discretionary authority over the account of a client or approves discretionary orders for an account when exercising such discretion or giving such approval pursuant to sections 3273 through 3276, or
- participates in the formulation of, or has prior access information regarding investment decisions made on behalf of or advice given to a managed account but does not include a sub‑adviser under section 3279.
There is no history log for this rule.
There is no history log for this rule.