Examining Authority definition
Examining Authority means the agency, board or other entity, of the District of Columbia, or any state or territory of the United States, entrusted with the responsibility for the governance, discipline, registration, examination and award of certificates, licenses or conditional credits for certified public accountants or public accountants and the practice of public accountancy in said jurisdictions.
Examining Authority. The meaning set forth in Rule 15c3-1(c)(12) under the Securities Exchange Act of 1934, as amended.
Examining Authority means the self-regulatory body designated to be responsible for inspecting or examining the Broker/Dealer for compliance with financial responsibility requirements under Section 9(c) of the Securities Investor Protection Act of 1970 and Section 17(d) of the Exchange Act. For purposes of this Loan Agreement, “Examining Authority” includes FINRA in accordance with its responsibilities under any applicable regulatory services agreement with any Governmental Authority.
Examples of Examining Authority in a sentence
Each Broker-Dealer Subsidiary must maintain its registration or comparable qualification with its applicable Examining Authority to the extent such registration or comparable qualification is material to the business of the Company and its Subsidiaries taken as a whole.
More Definitions of Examining Authority
Examining Authority means the Indian International Preliminary Examining Authority referred to in sub-rule (1) of rule 19F;
Examining Authority shall refer to the regulatory body having responsibility for inspecting or examining the Organization for compliance with financial responsibility requirements under Section 9(c) of SIPA and Section 17(d) of the Act.
Examining Authority means the Partnership's examining authority as defined in the Net Capital Rule.
Examining Authority means any person or group of persons approved by the council to conduct examinations in any subject falling under any profession registered in terms of this Act;
Examining Authority means the Panel or single appointed person appointed under section 65 (appointment of members, and lead member, of Panel) or section 79 (appointment of single appointed person) to examine an application under section 37, and may include one or more members of the Panel allocated a function of the Panel in accordance with section 76 (allocation within Panel of Panel's functions);
Examining Authority means any program designated by the Diagnosis and Evaluation Service to act as an examining authority for the purpose of these rules.
Examining Authority means: (1) The national securities exchange or other self-regulatory organization of which a creditor is a member; or