Examples of Dual Members in a sentence
FINRA shall assume Regulatory Responsibilities and Enforcement Responsibilities for Dual Members.
Nothing contained in this Agreement shall restrict or in any way encumber the right of either party to conduct its own independent or concurrent investigation, examination or enforcement proceeding of or against Dual Members, as either party, in its sole discretion, shall deem appropriate or necessary.
FINRA shall assume responsibility to review the advertising of Dual Members subject to the Agreement, provided that such material is filed with FINRA in accordance with FINRA’s filing procedures and is accompanied with any applicable filing fees set forth in FINRA Rules.
Accordingly, the proposed Plan promotes efficiency by reducing costs to Dual Members.
FINRA shall also be responsible for processing and, if required, acting upon all requests for the opening, address changes, and terminations of branch offices by Dual Members and any other applications required of Dual Members with respect to the Common Rules as they may be amended from time to time.
Prior to the Effective Date, MEMX shall furnish FINRA with a current list of Dual Members, which shall be updated no less frequently than once each quarter.
The amendments to the Incorporated NYSE Rules will reduce regulatory disparities, and will lessen the regulatory burden on Dual Members.
Accordingly, the proposed Amended Plan promotes efficiency by reducing costs to Dual Members.
FINRA Regulatory Notices 08–71(November 28, 2008) (discussing proposed FINRACommon Rules) of similar purpose, resulting in less burdensome and more efficient regulatory compliance for Dual Members.
Dual Members of the American Conference of Cantors and the Cantors Assembly: Members of both professional cantorial organizations are allowed to register and to conduct searches simultaneously through both associations.