Who is a non-MFP “executive officer?”
Pursuant to Rule G-37(g)(v), a non-MFP executive officer is defined as any associated person in charge of a principal business unit, division or function, or any other person who performs similar policy making functions for the dealer (or, in the case of a bank dealer, the separately identifiable department or division of the bank, as defined in Rule G-1), but does not include any municipal finance professional.
Related Questions
- If a non-MFP executive officer makes a contribution to an official of an issuer, is the dealer prohibited from engaging in municipal securities business with that issuer?
- In a bank with a separately identifiable dealer department, who would be considered a non-MFP executive officer?
- How does NASDAQ define "Executive Officer"?
