Exchange Regulation Clause Samples
The Exchange Regulation clause establishes the requirement that all transactions or activities covered by the agreement must comply with the rules and regulations of relevant exchanges or regulatory bodies. In practice, this means that parties must adhere to the operational standards, reporting requirements, and trading practices mandated by the exchange where the transaction occurs, such as a commodities or securities exchange. This clause ensures that all parties operate within the legal and procedural framework set by the exchange, thereby reducing the risk of regulatory violations and promoting fair, orderly, and transparent market conduct.
Exchange Regulation. Broker acknowledges that it will be subject to the rules of the NYSE, NASD and any other securities exchanges or associations of which SLK is or may become a member, to the extent that the rules of the NYSE, the NASD or such other securities exchanges or associations apply or are deemed to apply to non-member introducing firms that introduce to a member firm, or to the extent to which Broker agrees to comply with such rules, and of any governmental agencies to whose jurisdiction either party may be subject. SLK acknowledges that it will be subject to the rules of the NYSE, NASD and any other securities exchanges or associations to the extent that the rules of the NYSE, NASD or such securities exchanges or associations apply to a clearing broker that clears transactions for a member organization.
Exchange Regulation. The parties acknowledge they will be subject to the rules of the New York Stock Exchange, Inc., the American Stock Exchange, Inc., and any other securities exchanges or associations of which either party is or may or may become a member, and of any governmental agencies to whose jurisdiction either party may be subject.
Exchange Regulation the parties acknowledge they will be subject to the rules of the New York Stock Exchange, Inc., the American Stock Exchange, Inc., and any other securities exchanges or associations of which either party is or may become a member, and of any government agendas to whose jurisdictions either party may be subject.
Exchange Regulation. The parties acknowledge that they will be subject to the rules of the securities exchanges, securities futures exchanges or associations of which either party is or may become a member, and of any governmental agencies to whose jurisdiction either party may be subject. Notwithstanding this Agreement, Broker shall remain subject to only to those Applicable Laws or Regulations of Broker and nothing herein shall be deemed to be a consent by Broker to the jurisdiction or authority of any exchange or regulatory authority.