below, which definition is broader and would include New York Life as an associated person: The term “person associated with a member” ... when used with respect to a member of a national securities exchange or registered securities association means ... any person directly or indirectly controlling, controlled by, or under common control with such member .... Id. And the term “person” includes a “natural person, company, [and] government.” Id. at § 78c(a)(9). It is an open question in this Circuit whether the SEA definition overrides the definition in the NASD rules. See Jameson, 102 F.3d at 67 (noting that the question was “debatable” but that “[w]e need not enter into this debate”); Gaghich v. Prudential Ins. Co., No. 96-CV-0464E(M), 1997 WL 128269, at *3 (W.D.N.Y. March 10, 1997) (<HOLDING>); Chisolm v. Kidder, Peabody Asset Management,
holding that nasd bylaw definitions govern nasd rules holding that rules 33 and 34 did not apply to ivys misconduct because these rules are intended to govern attorneys when they are acting as advocates and not in thelr personal capacities holding that these prongs are distinct statutory definitions recognizing duty based on nasd rules holding that the federal expert witness compensation rules are in direct conflict with the state rules even when the state rules allow for a greater recovery