Nevada § 90.4535 Description of person “associated with” securities exchange or applicant for registration

Nevada Statutes

§ 90.4535 — Description of person “associated with” securities exchange or applicant for registration

Nevada·Title 7 BUSINESS ASSOCIATIONS; SECURITIES; COMMODITIES·Ch. 90 Securities· REGISTRATION OF SECURITIES EXCHANGES

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.

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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.

Nevada § 90.4535 (Description of person “associated with” securities exchange or applicant for registration) — published by Counsel Stack Legal Research, free access to 12M+ legal documents.