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  • Agent means any individual, other than a broker-dealer, who represents a broker-dealer or issuer in effecting or attempting to effect purchases or sales of securities. A general partner, officer or director of a broker-dealer or issuer, or a person occupying a similar status or performing similar functions, may be an agent if he or she comes within the definition and any compensation that he or she receives is directly or indirectly related to securities purchases or sales.

    Connecticut Deptartment of Banking - Cite This Source - This Definition

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