FINRA Group definition

FINRA Group means FINRA, its representatives and auditors.
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FINRA Group means FINRA, its representatives and auditors. Formatted: Not Small caps Formatted: Not Small caps Formatted: Not Small caps Formatted: Not Small caps
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Examples of FINRA Group in a sentence

  • Participant shall make its premises and personnel available to FINRA Group for review of said records and for physical inspection of Participant’s access, receipt and use of the Service, all at reasonable times, upon reasonable Notice, to ensure Participant and its users are in compliance with this Agreement.

  • Participant will maintain such accurate and verifiable records regarding the access, receipt and use of the Service including the names and addresses of all users that access, receive and use the Service, and will make these records available for a period of three (3) years in a form acceptable to FINRA or its designated agents for inspection by the FINRA Group upon reasonable notice.

  • Vendor agrees to permit the FINRA Group to periodically inspect its premises to verify the veracity and accuracy of its systems and reporting.

  • Participant will maintain such accurate and verifiable records regarding the access, receipt and use of the Service including the names and addresses of all usersof its Users that access, receive and use the Service, and will make these records available for a period of three (3) years in a form acceptable to FINRA or its designated agents for inspection by the FINRA Group upon reasonable notice.

  • Participant shall make its premises and personnel available to FINRA Group for review of said records and for physical inspection of Participant’s access, receipt and use of the Service, all at reasonable times, upon reasonable notice, to ensure Participant and its Users are in compliance with this Agreement.

  • Participant will maintain such accurate and verifiable records regarding the access, receipt and use of the Service including the names and addresses of all of its Users that access, receive and use the Service, and will make these records available for a period of three (3) years in a form acceptable to FINRA or its designated agents for inspection by the FINRA Group upon reasonable notice.

  • During the Audit Period the FINRA Group or its subcontractors or Vendor (at FINRA’s request) may, upon reasonable advance notice, review Vendor’s (a) records, (b) reports and records of payments to FINRA; and (c) data processing equipment and communications facilities and provide a report thereon detailing amounts owed and payments made.

  • During the Audit Period the FINRA Group or its subcontractors or Vendor (at FINRA’s request) may, upon reasonable advance notice, review Vendor’s (a) records, (b) reports and records of payments to FINRA as well as Vendor’s; and (c) data processing equipment and communications facilities and provide a report thereon detailing amounts owed and payments made.

  • FINRA Group: FINRA, its affiliates, subsidiaries, representatives and auditors.

  • Participant shall make its premises and personnel available to FINRA Group for review of said records and for physical inspection of Participant’s access, receipt and use of the Service, all at reasonable times, upon reasonable Noticenotice, to ensure Participant and its usersUsers are in compliance with this Agreement.

Related to FINRA Group

  • Selling Group has the meaning ascribed thereto in Section 2.2;

  • Purchaser’s Group means the Purchaser and its Affiliates from time to time;

  • Xxxx Group means collectively Xxxx Capital Fund V, L.P., Xxxx Capital Fund V-B, L.P., BCIP Associates, BCIP Trust Associates, L.P. and Xxxxxxxx Street Partners.

  • Xxxxx Group means Xxxxx and any Affiliate of Xxxxx.

  • Member means a member of the Board;

  • Seller’s Group means the Seller and any company which is, on or after the date of this Agreement, a subsidiary or holding company of the Seller or a subsidiary of a holding company of the Seller, and excludes, for the avoidance of doubt, any Group Company, and "Seller's Group Company" shall be construed accordingly.

  • SAP Group means SAP Parent and any of its Associated Companies.

  • Shareholder Group means (i) Shareholder and (ii) any Affiliate or Shareholder Family Entity (as defined in the Shareholder's Agreement) of Shareholder (other than the Company).

  • Xxxxxx Group shall have the meaning set forth in Section 9.2(b) hereof.

  • Seller Group means, at any time, the group of companies comprised of Xxxxx Fargo & Company and its subsidiaries at that time.

  • MNE Group means any Group that (i) includes two or more enterprises the tax residences of which are in different jurisdictions, or includes an enterprise that is resident for tax purposes in one jurisdiction and is subject to tax with respect to the business carried out through a permanent establishment in another jurisdiction, and (ii) is not an Excluded MNE Group;

  • DBS Group means DBS Bank Ltd, its subsidiaries, affiliates, branches and related companies.

  • Tax Group has the meaning set forth in Section 7.06(h)(iii).

  • Affiliated Group means any affiliated group within the meaning of Section 1504(a) of the Code or any similar group defined under a similar provision of state, local or foreign law.

  • Stockholder Group means the Stockholder and each Person (other than any member of the Company Group) that is an Affiliate of the Stockholder.

  • Parent Group has the meaning set forth in Section 8.03(c).

  • Designated Group means - i) Black designated groups; ii) Black People; iii) Women; iv) people with disabilities or v) Small enterprise, as defined in Section 1 of National Small Enterprise Act, (102 of 1996)

  • Holder Group means the Holder plus any other Person with which the Holder is considered to be part of a group under Section 13 of the Exchange Act or with which the Holder otherwise files reports under Sections 13 and/or 16 of the Exchange Act. In determining the number of Equity Interests of a particular class outstanding at any point in time, the Holder may rely on the number of outstanding Equity Interests of such class as reflected in (x) the Company’s most recent Annual Report on Form 10-K or Quarterly Report on Form 10-Q filed with the Securities and Exchange Commission, as the case may be, (y) a more recent public announcement by the Company or (z) a more recent notice by the Company or its transfer agent to the Holder setting forth the number of Equity Interests of such class then outstanding. For any reason at any time, upon written or oral request of the Holder, the Company shall, within one (1) Trading Day of such request, confirm orally and in writing to the Holder the number of Equity Interests of any class then outstanding. Anything herein to the contrary, any increase in the Beneficial Ownership Limitation will not be effective until the 61st day after such notice is delivered to the Company. The provisions of this Section 10 shall be construed, corrected and implemented in a manner so as to effectuate the intended beneficial ownership limitation herein contained.

  • Related Group For Loan Group 1, Group 1 and for Loan Group 2, Group 2.

  • VAT Group means a group for the purposes of the VAT Grouping Legislation.

  • Promoter Group means such persons and entities constituting the promoter group as per Regulation 2(1)(pp) of the SEBI ICDR Regulations.

  • Xxxxxxx Group means (i) any member of the Xxxxxxx Family, (ii) Xxxxxxx Energy Partners I, LP and SEP Management I, LLC, (iii) Xxxxxxx Parent, (iv) Xxxxxxx Investor, (v) Xxxxxxx Production Partners LP, (vi) Xxxxxxx Oil & Gas Corporation, (vii) Blackstone Newco and (viii) any Person Controlled by any one or more of the foregoing (other than the General Partner, the Partnership or any of their respective Subsidiaries).

  • Seller Group Member means (a) Seller and its Affiliates, (b) directors, officers and employees of Seller and its Affiliates and (c) the successors and assigns of the foregoing.

  • parent financial holding company in a Member State means a financial holding company which is not itself a subsidiary of an institution authorised in the same Member State, or of a financial holding company or mixed financial holding company set up in the same Member State;

  • Minority Group means any of the following racial or ethnic groups:

  • 13D Group means any group of persons formed for the purpose of acquiring, holding, voting or disposing of Voting Securities which would be required under the Securities Exchange Act of 1934, as amended (the "Exchange Act"), and the rules and regulations promulgated thereunder, to file a statement on Schedule 13D with the Securities and Exchange Commission as a "person" within the meaning of Section 13(d)(3) of the Exchange Act if such group beneficially owned sufficient securities to require such a filing under the Exchange Act.