REGISTERED PERSONNEL definition

REGISTERED PERSONNEL means an EMPLOYEE licensed and registered with the NASD.
REGISTERED PERSONNEL shall have the meaning ascribed to it in Section 2.22(d).

Examples of REGISTERED PERSONNEL in a sentence

  • REGISTERED PERSONNEL WHO ARE EMPLOYEES OF INVESTMENT ADVISORS/FUND COMPANIES are required to be covered by their employers code of ethics and must sign a certification substantiating that fact.

Related to REGISTERED PERSONNEL

  • registered person means a person who is registered under section 25 but does not include a person having a Unique Identity Number;

  • Registered patient means a patient who is included in a list that is a registered patient list for the purposes of the Primary Medical Services (Sale of Goodwill and Restrictions on Sub- contracting) Regulations 2004(e);

  • registered medical practitioner means a medical practitioner registered under the Medical Act 1971 [Act 50];

  • Registered User means a person who is for the time being registered as such under section 49;

  • Registered Plans means, collectively, trusts governed by registered retirement savings plans, registered retirement income funds, registered disability savings plans, deferred profit sharing plans, tax-free savings accounts and registered education savings plans.

  • Registered entity means a covered entity, opt-in entity,

  • Registered nurse means a person who has been issued a certificate of registration as a registered nurse pursuant to the Health Professions Act and Regulations, and who holds an annual certificate.

  • registered company means a company registered under the enactments relating to companies for the time being in force in the United Kingdom.

  • Registered Plan means a registered retirement savings plan, a registered retirement income fund, a deferred profit sharing plan, a registered education savings plan, a registered disability savings plan, and a tax-free savings account.

  • Registered Provider means a registered provider of social housing (see section 80 of the Housing and Regeneration Act 2008);

  • Registered Charity means a charitable organization which is registered with the Canada Revenue Agency as a registered charity and listed in the attached link, which may be updated from time to time: http://www.cra-arc.gc.ca/chrts-gvng/lstngs/menu-eng.html.

  • registered proprietor , in relation to a trade mark, means the person for the time being entered in the register as proprietor of the trade mark;

  • Registered Representative is defined as a duly registered representative of Broker-Dealer, in good standing, with the authority to sell Contracts as required by the Financial Industry Regulatory Authority, Inc. (hereinafter “FINRA”) and who is appointed as a non exclusive agent of the Company and properly licensed and appointed in accordance with applicable laws and regulations and the Company’s Licensing, Appointment and Registration policy, as amended from time to time.