or
Defined in 1 place of the United States Code.
In general.—The term “person associated with a security-based swap dealer or major security-based swap participant” or “associated person of a security-based swap dealer or major security-based swap participant” means—
(i) any partner, officer, director, or branch manager of such security-based swap dealer or major security-based swap participant (or any person occupying a similar status or performing similar functions);
(ii) any person directly or indirectly controlling, controlled by, or under common control with such security-based swap dealer or major security-based swap participant; or
(iii) any employee of such security-based swap dealer or major security-based swap participant.
Source
- 2011–201415 U.S.C. § 78CCommerce and Trade · Definitions and application · under this chapter
The term “person associated with a security-based swap dealer or major security-based swap participant” or “associated person of a security-based swap dealer or major security-based swap participant” means—
(i) any partner, officer, director, or branch manager of such security-based swap dealer or major security-based swap participant (or any person occupying a similar status or performing similar functions);
(ii) any person directly or indirectly controlling, controlled by, or under common control with such security-based swap dealer or major security-based swap participant; or
(iii) any employee of such security-based swap dealer or major security-based swap participant.
Source
- 2014–present15 U.S.C. § 78CCommerce and Trade · Definitions and application · under this chapter