Applicable Law and Regulations. All Prime Brokerage Transactions shall be subject to all applicable laws and the rules and regulations of all federal, state and self-regulatory agencies including, but not limited to, the Securities and Exchange Commission, all relevant securities and commodity exchanges, the Municipal Securities Rulemaking Board, the Financial Industry Regulatory Authority, the Board of Governors of the Federal Reserve System, and the constitution, rules and customs of the exchange or market (and its clearing house, if any) where executed. In addition, all Prime Brokerage Transactions shall be performed in a manner not inconsistent with the SEC No-Action Letter dated January 25, 1994 relating to prime brokerage services, which was issued by the Division of Market Regulation and all amendments, modifications and supplements thereto (the “SEC Letter”), as the same may be amended, modified or supplemented from time to time.
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Samples: www.aufsec.com, www.aufsec.com
Applicable Law and Regulations. All Prime Brokerage Transactions shall be subject to all applicable laws and the rules and regulations of all federal, state and self-regulatory agencies agencies, including, but not limited to, the Securities and Exchange Commission, all relevant securities and commodity exchanges, the Municipal Securities Rulemaking Board, the Financial Industry Regulatory AuthorityNational Association of Securities Dealers, the Board of Governors of the Federal Reserve System, and the constitution, rules and customs of the exchange or market (and its clearing house, if any) where executed. In addition, all Prime Brokerage Transactions shall be performed in a manner not inconsistent with the SEC No-Action Letter dated January 25, 1994 relating to prime brokerage services, which was issued by the Division of Market Regulation and all amendments, modifications and supplements thereto (the “"SEC Letter”"), as the same may be amended, modified or supplemented from time to time.
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Applicable Law and Regulations. All Prime Brokerage Transactions shall be subject to all applicable laws and the rules and regulations of all federal, state state, and self-regulatory agencies including, but not limited to, the Securities and Exchange Commission, all relevant securities and commodity exchanges, the Municipal Securities Rulemaking Board, the Financial Industry Regulatory AuthorityNational Association of Securities Dealers, the Board of Governors of the Federal Reserve System, and the constitution, rules and customs of the exchange or market (and its clearing house, if any) where executed. In addition, all Prime Brokerage Transactions shall be performed in a manner not inconsistent with the SEC No-Action Letter dated January 25, 1994 relating to prime brokerage services, which was issued by the Division of Market Regulation and all amendments, modifications and supplements thereto (the “"SEC Letter”"), as the same may be amended, modified or supplemented from time to time.
Appears in 1 contract
Applicable Law and Regulations. All Prime Brokerage Transactions shall be subject to all applicable laws and the rules and regulations of all federal, state and self-regulatory agencies including, but not limited to, the Securities and Exchange Commission, all relevant securities and commodity exchanges, the Municipal Securities Rulemaking Board, the Financial Industry Regulatory AuthorityNational Association of Securities Dealers, the Board of Governors of the Federal Reserve System, and the constitution, rules and customs of the exchange or market (and its clearing house, if any) where executed. In addition, all Prime Brokerage Transactions shall be performed in a manner not inconsistent with the SEC No-Action Letter dated January 25, 1994 relating to prime brokerage services, which was issued by the Division of Market Regulation and all amendments, modifications and supplements thereto (the “"SEC Letter”"), as the same may be amended, modified or supplemented from time to time.
Appears in 1 contract
Applicable Law and Regulations. All Prime Brokerage Transactions shall be subject to all applicable laws and the rules and regulations of all federal, state state, and self-regulatory agencies including, but not limited to, the Securities and Exchange CommissionCommission (“SEC”), all relevant securities and commodity exchanges, the Municipal Securities Rulemaking Board, the Financial Industry Regulatory AuthorityNational Association of Securities Dealers, the Board of Governors of the Federal Reserve System, and the constitution, rules rules, and customs of the exchange or market (and its clearing house, if any) where executed. In addition, all Prime Brokerage Transactions shall be performed in a manner not inconsistent with the SEC No-Action Letter dated January 25, 1994 relating to prime brokerage services, which was issued by the Division of Market Regulation and all amendments, modifications and supplements thereto (the “SEC Letter”), as the same may be amended, modified modified, or supplemented from time to time.
Appears in 1 contract
Applicable Law and Regulations. All Prime Brokerage Transactions shall be subject to all applicable laws and the rules and regulations of all federal, state and self-regulatory agencies including, but not limited to, the Securities and Exchange Commission, all relevant securities and commodity exchanges, the Municipal Securities Rulemaking Board, the Financial Industry Regulatory Authority, Inc., the Board of Governors of the Federal Reserve System, and the constitution, rules and customs of the exchange or market (and its clearing house, if any) where executed. In addition, all Prime Brokerage Transactions shall be performed in a manner not inconsistent with the SEC No-Action Letter dated January 25, 1994 relating to prime brokerage services, which was issued by the Division of Market Regulation and all amendments, modifications and supplements thereto (the “SEC Letter”), as the same may be amended, modified or supplemented from time to time.
Appears in 1 contract
Applicable Law and Regulations. All Prime Brokerage Transactions shall be subject to all applicable laws and the rules and regulations of all federal, state and self-regulatory agencies including, but not limited to, the Securities and Exchange Commission, all relevant securities and commodity exchanges, the Municipal Securities Rulemaking Board, the Financial Industry Regulatory Authority, the Board of Governors of the Federal Reserve System, and the constitution, rules and customs of the exchange or market (and its clearing house, if any) where executed. In addition, all Prime Brokerage Transactions shall be performed in a manner not inconsistent with the SEC No-Action Letter dated January 25, 1994 relating to prime brokerage services, which was issued by the Division of Market Regulation and all amendments, modifications and supplements thereto (the “"SEC Letter”"), as the same may be amended, modified or supplemented from time to time.
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Samples: darbie.com