US Lawyer Database

§46A-6F-203. Inapplicability of Article to Licensed Associated Person of a Securities, Commodities, or Investment Broker, Dealer, or Investment Adviser

The provisions of this article do not apply to any licensed associated person of a securities, commodities, or investment broker, dealer, or investment adviser, when soliciting within the scope of his license. As used in this section, ?licensed associated person of a securities, commodities, or investment broker, dealer, or investment adviser" means any associated person […]