3270. Definitions

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    1. The following term has the meaning set out below when used in sections 3271  through 3281: 

    2. “responsible person”

      A partner, Director, officer, employee or agent of a Dealer Member who:

      1. 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
      2. 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.

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