Requirements of Self-Regulatory Organization Sample Clauses

Requirements of Self-Regulatory Organization. Participant acknowledges that: (a) FINRA is registered with the SEC as a registered national securities association pursuant to Section 15A of the Act; (b) FINRA has a statutory obligation to protect investors and the public interest and to ensure the integrity of the Service and Information and Data (including the Information and Data supplied to investors and the public); (c) Section 19(g)(1) of the Act mandates that FINRA, as a self-regulatory organization, comply with the provisions of the Act, the rules and regulations there under, and FINRA Rules; and (d) FINRA has jurisdiction to enforce compliance with the Act, the rules and regulations promulgated there under, and FINRA Rules over its members, Participant and those who access, receive or use the Service or the Information and Data by virtue of this Agreement. Accordingly, Participant agrees that (i) FINRA may, by notice to Participant unilaterally, limit or terminate the right of any and all persons to receive or use the Service or the Information and Data in accordance with the obligations set forth in this Section; and (ii) FINRA may control the manner in which the Service and Information and Data are accessed, received or used. In any such case, Participant will immediately comply with any such notice and will terminate or limit its access, receipt and use of the Service and Information and Data, and confirm such compliance by notice to FINRA. Any affected person will have available to it such procedural protections as are provided by the Act and applicable rules there under.
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Requirements of Self-Regulatory Organization. Participant acknowledges that: (a) NASD is registered with the SEC as a registered national securities association pursuant to Section 15A of the Act; (b) NASD has a statutory obligation to protect investors and the public interest and to ensure the integrity of the Service and Information and Data (including the Information and Data supplied to investors and the public); (c) Section 19(g)(1) of the Act mandates that NASD, as a self-regulatory organization, comply with the provisions of the Act, the rules and regulations there under, and the NASD Rules; and (d) NASD has jurisdiction to enforce compliance with the Act, the rules and regulations promulgated there under, and the NASD Rules over its members, Participant and those who access, receive or use the Service or the Information and Data by virtue of this Agreement. Accordingly, Participant agrees that (i) NASD may, by Notice to Participant unilaterally, limit or terminate the right of any and all persons to receive or use the Service or the Information and Data in accordance with the obligations set forth in this Section; and (ii) NASD may control the manner in which the Service and Information and Data are accessed, received or used. In any such case, Participant will immediately comply with any such Notice and will terminate or limit its access, receipt and use of the Service and Information and Data, and confirm such compliance by Notice to NASD. Any affected person will have available to it such procedural protections as are provided by the Act and applicable rules there under.
Sample 1Sample 2
Requirements of Self-Regulatory Organization. Participant acknowledges that: (a) FINRA is registered with the SEC as a registered national securities association pursuant to Section 15A of The Act; (b) FINRA has a statutory obligation to protect investors and the public interest and to ensure the integrity of the Service and Information and Data (including the Information and Data supplied to investors and the public); (c) Section 19(g)(1) of the Act mandates that FINRA, as a self-regulatory organization, comply with the provisions of the Act, the rules and regulations there under, and FINRA Rules; and (d) FINRA has jurisdiction to enforce compliance with the Act, the rules and regulations promulgated there under, and FINRA Rules over its members, Participant and those who access, receive or use the Service or the Information and Data by virtue of this Agreement. Accordingly, Participant agrees that (i) FINRA may, by Notice to Participant unilaterally, limit or terminate the right of any and all persons to receive or use the Service or the Information and Data in accordance with the obligations set forth in this Section; and
Sample 1
Requirements of Self-Regulatory Organization. Vendor acknowledges that: (a) NASD is registered with the SEC as a registered national securities association pursuant to Section 15A of the Exchange Act; (b) NASD has a statutory obligation to protect investors and the public interest and to ensure the integrity of quotation information (including, without limitation, the Information) supplied to investors and the public; (c) Section 19(g)(1) of the Exchange Act mandates that NASD, as a self-regulatory organization, comply with the provisions of the Exchange Act, the rules and regulations thereunder, and the NASD Rules; and (d) NASD has jurisdiction over its members to enforce compliance with the Exchange Act, the rules and regulations promulgated thereunder, and the NASD Rules. Accordingly, Vendor agrees that Nasdaq, as a subsidiary of NASD, when required to do so by NASD, may by notice to Vendor unilaterally: (i) limit or terminate the right of any or all persons to receive or use the Information; or (ii) control the manner in which the Information is formatted and displayed by Vendor to ensure the completeness, fairness and integrity of the Information received by Subscribers. Vendor shall promptly comply with any such notice. With respect to clause (i) above, Vendor shall terminate or limit the furnishing of the Information within three (3) business days after receipt of such notice and shall confirm such compliance by notice to Nasdaq not later than five (5) business days after receipt of notice from Nasdaq. With respect to clause (ii) above, Vendor shall make the necessary changes to its Service to comply with any such notice within such period of time as may be determined in good faith by Nasdaq to be necessary, consistent with such statutory obligation. Any person or persons the subject of notice issued pursuant to this Section 3.05 shall have available to them those procedural protections provided by the Exchange Act and applicable rules thereunder.
Sample 1

Related to Requirements of Self-Regulatory Organization

  • LEAVE FOR REGULATORY BUSINESS AS PER THE TEACHERS’ ACT 1. Upon written request to the Superintendent or designate from the Ministry of Education, an employee who is appointed or elected to the BC Teachers’ Council or appointed to the Disciplinary or Professional Conduct Board shall be entitled to a leave of absence with pay and shall be deemed to be in the full employ of the board as defined in Article G.6.1. 2. Upon written request to the superintendent or designate from the Ministry of Education, a teacher teaching on call (TTOC) who is appointed or elected to the BC Teachers’ Council or appointed to the Disciplinary and Professional Conduct Board shall be considered on leave and shall be deemed to be in the full employ of the Board as defined in Article A.10.1 above. TTOCs shall be paid in accordance with the collective agreement. 3. Leave pursuant to Article A.10.1 and A.10.2 above shall not count toward any limits on the number of days and/or teachers on leave in the provisions in Article G.6.

  • EDD Independent Subrecipient Reporting Requirements Effective January 1, 2001, the County of Orange is required to file in accordance with subdivision (a) of Section 6041A of the Internal Revenue Code for services received from a “service provider” to whom the County pays $600 or more or with whom the County enters into a contract for $600 or more within a single calendar year. The purpose of this reporting requirement is to increase child support collection by helping to locate parents who are delinquent in their child support obligations. The term “service provider” is defined in California Unemployment Insurance Code Section 1088.8, Subparagraph B.2 as “an individual who is not an employee of the service recipient for California purposes and who received compensation or executes a contract for services performed for that service recipient within or without the State.” The term is further defined by the California Employment Development Department to refer specifically to independent Subrecipients. An independent Subrecipient is defined as “an individual who is not an employee of the ... government entity for California purposes and who receives compensation or executes a contract for services performed for that ... government entity either in or outside of California.” The reporting requirement does not apply to corporations, general partnerships, limited liability partnerships, and limited liability companies. Additional information on this reporting requirement can be found at the California Employment Development Department web site located at xxxx://xxx.xxx.xx.xxx/Employer_Services.htm

  • Reporting Requirements of the Commission The Trustee and the Master Servicer shall reasonably cooperate with the Depositor and its counsel to enter into such amendments or modifications to this Agreement as may be necessary to comply with the Rules and any interpretations thereof by the staff of the Commission, subject to the provisions of Section 11.03 hereof.

  • Compliance with Federal Law, Regulations, and Executive Orders This is an acknowledgement that FEMA financial assistance will be used to fund all or a portion of the contract. The contractor will comply with all applicable Federal law, regulations, executive orders, FEMA policies, procedures, and directives.

  • References to Statutes, Public Acts, Regulations, Codes and Executive Orders All references in this Contract to any statute, public act, regulation, code or executive order shall mean such statute, public act, regulation, code or executive order, respectively, as it has been amended, replaced or superseded at any time. Notwithstanding any language in this Contract that relates to such statute, public act, regulation, code or executive order, and notwithstanding a lack of a formal amendment to this Contract, this Contract shall always be read and interpreted as if it contained the most current and applicable wording and requirements of such statute, public act, regulation, code or executive order as if their most current language had been used in and requirements incorporated into this Contract at the time of its execution.

  • Regulatory Requirements Each Party’s obligations under this Agreement shall be subject to its receipt of any required approval or certificate from one or more Governmental Authorities in the form and substance satisfactory to the applying Party, or the Party making any required filings with, or providing notice to, such Governmental Authorities, and the expiration of any time period associated therewith. Each Party shall in good faith seek and use its Reasonable Efforts to obtain such other approvals. Nothing in this Agreement shall require Developer to take any action that could result in its inability to obtain, or its loss of, status or exemption under the Federal Power Act or the Public Utility Holding Company Act of 2005 or the Public Utility Regulatory Policies Act of 1978, as amended.

  • Sanctions Concerns and Anti Corruption Laws (a) No Loan Party, nor any Subsidiary, nor, to the knowledge of the Loan Parties, any director, officer, employee, agent, affiliate or representative thereof, is an individual or entity that is, or is owned or controlled by any individual or entity that is (i) currently the subject or target of any Sanctions, (ii) included on OFAC’s List of Specially Designated Nationals, HMT’s Consolidated List of Financial Sanctions Targets and the Investment Ban List, or any similar list enforced by any other relevant sanctions authority or (iii) located, organized or resident in a Designated Jurisdiction. (b) The Loan Parties and their Subsidiaries have conducted their business in compliance with the United States Foreign Corrupt Practices Act of 1977, the UK Bxxxxxx Xxx 0000 and other similar anti-corruption legislation in other jurisdictions, and have instituted and maintained policies and procedures designed to promote and achieve compliance with such laws and applicable Sanctions, and to the knowledge of the Borrower, the Loan Parties and their Subsidiaries are in compliance with such anti-corruption laws and applicable Sanctions in all material respects.

  • Functional Requirements Applications must implement controls that protect against known vulnerabilities and threats, including Open Web Application Security Project (OWASP) Top 10 Risks and denial of service (DDOS) attacks.

  • Performance of Services in Accordance with Regulatory Requirements; Furnishing of Books and Records In performing the services set forth in this Agreement, the Manager: A. shall conform with the 1940 Act and all rules and regulations thereunder, with all other applicable federal, state and foreign laws and regulations, with any applicable procedures adopted by the Trust’s Board of Trustees, and with the provisions of the Trust’s Registration Statement filed on Form N-1A as supplemented or amended from time to time; B. will make available to the Trust, promptly upon request, any of the Fund’s books and records as are maintained under this Agreement, and will furnish to regulatory authorities having the requisite authority any such books and records and any information or reports in connection with the Manager’s services under this Agreement that may be requested in order to ascertain whether the operations of the Trust are being conducted in a manner consistent with applicable laws and regulations.

  • Child Abuse Reporting Requirements A. Grantees shall comply with child abuse and neglect reporting requirements in Texas Family Code Chapter 261. This section is in addition to and does not supersede any other legal obligation of the Grantee to report child abuse. B. Grantee shall use the Texas Abuse Hotline Website located at xxxxx://xxx.xxxxxxxxxxxxxx.xxx/Login/Default.aspx as required by the System Agency. Grantee shall retain reporting documentation on site and make it available for inspection by the System Agency.

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