Designated Examining Authority definition

Designated Examining Authority means FINRA, the NFA or any other exchange that has been designated as a Broker-Dealer Subsidiary’s designated examining authority, as such term is defined in Rule 15c3-1(c)(12) promulgated under the Securities Exchange Act.
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Designated Examining Authority means the national securities exchange or national securities association that has been designated as the Borrower’s “Examining Authority”, as defined in Rule 15c3-1(c)(12) of the SEC.
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Designated Examining Authority means an exchange that has been designated as the Borrower’s securities designated examining authority, as defined in Rule 15c3‑1(c)(12) of the SEC.
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Examples of Designated Examining Authority in a sentence

  • Such Designated Examining Authority shall submit the model to the Commission, together with a description of its meth- ods for approving models.

  • If an Industry Member does not have an identifier assigned to them, they should request an identifier from their Designated Examining Authority (“DEA”).

  • The Exchange proposes to amend Article II, Rule 6(b) of the Exchange’s rules in order to limit the applicability of the Exchange’s Withdrawal of Capital provisions to member firms for which the Exchange is the Designated Examining Authority (‘‘DEA’’).

  • Clearing Agent shall also provide to the Introducing Firm’s Designated Examining Authority (or, if none, to its appropriate regulatory agency or authority) a copy of the notice sent to Introducing Firm transmitting the reports referred to in the preceding sentence.

  • The Examinations Department monitors the daily financial condition of floor brokers, market makers and specialists and serves as the Designated Examining Authority to audit selected member firms.

  • We, pursuant to, and in accordance with, the NYSE and NASD rules regarding clearing relationships, will promptly forward any written customer complaints which we receive regarding your firm or any associated persons of your firm to you and your Designated Examining Authority ("DEA") and/or the appropriate regulatory agency or authority.

  • The subordinated borrowings are covered by an agreement approved by the Designated Self Regulatory Organizations and Designated Examining Authority and are thus available in computing net capital under the Securities and Exchange Commission’s uniform net capital rule.

  • If such other registered options exchange has not been designated by the Securities and Exchange Commission (the “SEC”), pursuant to Rule 17d-1 under the Exchange Act, to examine Members for compliance with financial responsibility rules (known as the Designated Examining Authority or “DEA”), then such Applicant must have and maintain a membership in FINRA.

  • The broker or dealer also shall trans- mit telegraphic or facsimile notice of the deficit and its amount by the close of business of the following business day to its Designated Examining Au- thority and the Designated Examining Authority of the specialist, if different from its own.

  • Others believed that the mechanism of allowing the Designated Examining Authority (“DEA”) to grant exceptions to the concentration provision would be unworkable absent uniform guidelines for granting exceptions.


More Definitions of Designated Examining Authority

Designated Examining Authority means, with respect to a member of two or more self-regulatory organizations, the self-regulatory organization responsible for (i) examining such member for compliance with the financial responsibility requirements
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Designated Examining Authority means FINRA, the NFA or any other exchange that has been designated as a Broker-Dealer Subsidiary’s designated examining authority, as such term is defined in Rule 15c3-1(c)(12) promulgated under the Securities Exchange Act. “Designated Jurisdiction” means any country or territory to the extent that such country or territory is the subject of any Sanction. “Designated Self-Regulatory Organization” has the meaning specified in Section 3(a)(26) of the Securities Exchange Act. “Disposition” or “Dispose” means the sale, transfer, license, lease or other disposition (including any Sale and Leaseback Transaction) of any property (including the Equity Interests in any Subsidiary) by any Loan Party or Subsidiary (or the granting of any option or other right to do any of the foregoing), including any sale, assignment, transfer or other disposal, with or without recourse, of any notes or accounts receivable or any rights and claims associated therewith, but excluding any Involuntary Disposition. “Disqualified Capital Stock” means any Equity Interest which, by its terms (or by the terms of any security into which it is convertible or for which it is exchangeable), or upon the happening of any event, (a) matures (excluding any maturity as the result of an optional redemption by the issuer thereof) or is mandatorily redeemable, pursuant to a sinking fund obligation or otherwise, or is redeemable at the option of the holder thereof, in whole or in part, prior to the ninety-first (91st) day after the Maturity Date, (b) requires the payment of any cash dividends at any time prior to the ninety-first (91st) day after the Maturity Date, (c) is convertible into or exchangeable (unless at the sole option of the issuer thereof) for (i) debt securities, or (ii) any Equity Interests referred to in clause (a) or (b) above, in each case at any time prior to the ninety-first (91st) day after the Maturity Date, or (d) contains any repurchase obligation which may come into effect prior to payment in full of all Obligations; provided, that, any Equity Interests that would not constitute Disqualified Capital Stock but for provisions thereof giving holders thereof (or the holders of any security into or for which such Equity Interests are convertible, exchangeable or exercisable) the right to require the issuer thereof to redeem or repurchase such Equity Interests upon the occurrence of a change in control or an asset sale occurring prior to the ninety-first (91st) day after the Maturit...
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Designated Examining Authority means (i) the NYSE Arca, Inc. with respect to Octeg, (ii) Financial Industry Regulatory Authority, Inc. with respect to KCA’s securities and Chicago Mercantile Exchange Inc. with respect to KCA’s futures, or (iii) in each case, any other exchange that has been designated as either Octeg’s or KCA’s securities designated examining authority, as defined in Rule 15c3-1(c)(12) of the SEC.
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Related to Designated Examining Authority

  • Planning Authority means the responsible entity that coordinates and integrates transmission facility and service plans, resource plans, and protection systems.

  • Signing Authority means an officer or agent of the organization with written authorization to commit the legal entity to a binding agreement.

  • local planning authority in relation to an area means⎯

  • Operating Authority means, in respect of the Authorized System, the person, entity, or assignee that is given responsibility by the Owner for the operation, management, maintenance, or Alteration of the Authorized System, or a portion of the Authorized System.

  • Inspecting Authority means the authorised representative of the Department to act as Inspecting Authority for the purpose of this contract and for the purpose of ascertaining the progress of the deliveries under the contract.

  • Examining board means a part−time body which sets standards of professional competence and conduct for the profes- sion under its supervision, prepares, conducts and grades the examinations of prospective new practitioners, grants licenses, investigates complaints of alleged unprofessional conduct and performs other functions assigned to it by law. “Examining board” includes the board of nursing.

  • relevant planning authority means the district planning authority for the area in which the land to which the relevant provision of this Order applies is situated;

  • Authority or Housing Authority (HA) means the Housing Authority.

  • Assessing Authority means the assessing authority constituted under this Act;

  • Purchasing Authority means the officer signing the acceptance of tender and shall include any officer who has authority to execute the relevant contract on behalf of the Purchaser.

  • Governing authority means the local legislative authority

  • Certifying Authority means any accredited private certifier including where appropriate, a Principal Certifying Authority (PCA) appointed or to be appointed to certify the Development or any aspect of it;

  • Franchising Authority means any Governmental Authority authorized by any federal, state or local law to grant a Franchise or to exercise jurisdiction over the rates or services provided by a cable television system pursuant to a Franchise or over Persons holding a Franchise.

  • Requesting Authority means the Authority making a request under this MoU.

  • Housing authority means a housing authority created or

  • Contracting Authority means any contracting authority as defined in Regulation 3 of the Public Contracts Regulations 2006.

  • Approving Authority means a government (federal, provincial or municipal), governmental agency, Crown corporation, or quasi-governmental authority (a privately operated organization exercising authority delegated by legislation or a government).

  • Supervising physician means any physician licensed under Iowa Code chapter 148, 150, or 150A. The supervising physician is responsible for medical direction of emergency medical care personnel when such personnel are providing emergency medical care.

  • Employing Authority means any entity which employs educators, and includes, but is not limited to, school districts, charter schools, boards of directors, and management companies.

  • Implementing Authority means the Municipal Manager or his or her nominee, acting in terms of section 100 of the Local Government: Municipal Systems Act No. 32 of 2000.

  • Licensing authority means the department or division within each participating state which is authorized by law to issue or approve licenses or permits to hunt, fish, trap, or possess wildlife.

  • Examination Criteria means the loan classification criteria employed by, or any applicable regulations of, the Assuming Institution’s Chartering Authority at the time such action is taken, as such criteria may be amended from time to time.

  • Funding Authority means the body awarding the grant for the Project.

  • Balancing Authority Area means the collection of generation, transmission, and loads within the metered boundaries of a balancing authority. A balancing authority maintains load-resource balance within this area.

  • Contract Awarding Authority means the Board of Supervisors or the individual authorized by the Board of Supervisors to enter into contracts on behalf of the County.

  • Supervising pharmacist means an Iowa-licensed pharmacist who is on duty in an Iowa-licensed pharmacy and who is responsible for assigning and supervising the duties performed by a pharmacy support person.

Most Referenced Clauses

Most Referenced Definitions