Which of the following is considered an associated person of a broker/dealer?
A) A secretary to a general partner of a broker/dealer.
B) A secretary who assists brokers with clerical tasks.
C) A clerical person who is not authorized to accept or execute orders for clients.
D) A broker/dealer's officer who represents the broker/dealer in effecting or attempting to effect the purchase or sale of securities.
Answer: D) A broker/dealer's officer who represents the broker/dealer in effecting or attempting to effect the purchase or sale of securities.