Article 18 the responsible person and associated person shall conduct the business in accordance with the rules of honesty and good faith.

第18条证券商负责人及业务人员执行业务应本诚实及信用原则。

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Is the account holder a member of an exchange or a regulatory or a self-regulatory organization, or an associated person, affiliated person or employee of an exchange member?

是否此账户的持有人为一个交易所或监管机构，或自我监管机构的雇员或相关人员？

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To carry out cancellation registration in the event of any death, resignation, layoff, discharge, severance, or retirement of the responsible person or associated person of a securities firm.

证券商负责人或业务人员死亡、辞职、解雇、解任、资遣、退休等情事者，为注销登记。

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Implicit in all member and associated person relationships with customers and others is the fundamental responsibility for fair dealing.

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An associated person may not limit or place conditions on an 8210 request.

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Associated person Cammarota entered the securities industry in September 2011 with SagePoint Financial, where he remained until his discharge on November 14, 2011.

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