Home > Term: restricted person
restricted person
For purposes of the New Issue Questionnaire, restricted person means an officer, director, general partner, employee or agent of any broker-dealer, a senior officer of a financial institution, a finder with respect to the offering, or a person acting in a fiduciary capacity to the issuer or the managing underwriter for the offering.
- Part of Speech: noun
- Industry/Domain: Financial services
- Category: Funds
- Company: Merrill Lynch
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- MJ63
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