Market Regulation definition

Market Regulation means the Market Code, the Operational Code, the Directions and the Disconnections Document;
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Market Regulation means the market regulation division of the Exchange;
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Examples of Market Regulation in a sentence

  • On or before the 20th day after filing a notice of appeal, the appellant must file with the Chief Compliance Officer and serve on the Market Regulation Team a brief supporting the notice of appeal and documents supporting the brief.

  • In connection with any appeal, the Market Regulation Team will furnish to the Chief Compliance Officer and to the respondent/appellant a transcript of the hearing, any exhibits introduced at the hearing, the notice of appeal and briefs filed to support and oppose the appeal.

  • If the Market Regulation Team determines that no reasonable basis exists to believe that a violation within the Company’s jurisdiction has occurred or is about to occur, it may direct that no further action be taken.

  • Upon such determination, the Market Regulation Team will provide a written statement setting forth the facts and analysis supporting the decision.

  • If the Market Regulation Team determines that disciplinary proceedings are unwarranted, it may issue a warning letter setting forth, in writing, the facts and analysis supporting the decision.

  • Confirmed vested parties and the description of the property, liens and tax assessments.

  • In the event that the Disciplinary Panel accepts an offer of settlement without the agreement of the Market Regulation Team, the decision must adequately support such acceptance.

  • If the Market Regulation Team determines that additional investigation or evidence is needed to decide whether a reasonable basis exists to believe that a violation within the Company’s jurisdiction has occurred or is about to occur, it will conduct further investigation.

  • Any offer of settlement should contain proposed findings and sanctions and be signed by the respondent or potential respondent and submitted to the Market Regulation Team.

  • In the event of any such delegation, references to the Market Regulation Team in this Chapter 7 shall be construed to be references to the RSP.

Related to Market Regulation

  • EU Regulation means a regulation within the meaning of Article 288 of the Treaty on the Functioning of the European Union;

  • SEBI Regulations means the Securities and Exchange Board of India (Listing Obligations and Disclosure Requirements) Regulations, 2015 together with the circulars issued thereunder, including any statutory modification(s) or re-enactment(s) thereof for the time being in force.

  • Plan Asset Regulation means the United States Department of Labor Regulation 29 C.F.R. Section 2510.3-101, as modified by Section 3(42) of ERISA.

  • Plan Asset Regulations means 29 CFR § 2510.3-101 et seq., as modified by Section 3(42) of ERISA, as amended from time to time.

  • Regulation E includes specific rules for all parties involved governing the issuance and use of Debit Cards and the processing of On-line Debit Card Transactions.

  • CFTC Regulations means the rules and regulations promulgated by the CFTC, as amended.

  • the 2000 Regulations means the Water Supply (Water Quality) Regulations 2000(b); "the 2001 Regulations" means the Water Supply (Water Quality) Regulations 2001(c);

  • EEA Regulations means the Immigration (European Economic Area) Regulations 2006.

  • Data Protection Regulation means Regulation (EU) 2016/679 of the European Parliament and of the Council of 27 April 20161 on the protection of natural persons with regard to the processing of personal data and on the free movement of such data, and repealing Directive 95/46/EC (General Data Protection Regulation);