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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.
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- Part of Speech: noun
- Synonym(s):
- Blossary:
- Industry/Domain: Financial services
- Category: Funds
- Company: Merrill Lynch
- Product:
- Acronym-Abbreviation:
Other Languages:
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