Series 65: 8.10.4.2 Partners, Directors, And Managers Of Broker-Dealers

Taken from our Series 65 Online Guide

8.10.4.2 Partners, Directors, and Managers of Broker-Dealers

The Uniform Securities Act states that:

A partner, officer, or director of a broker-dealer or issuer, or a person occupying a similar status or performing similar functions, is an agent only if [that person] otherwise comes within this definition. If a partner, officer, or director of a firm does not effect securities transactions on behalf of the firm, then he is not an agent. If he does engage

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