Market Regulation Department definition

Market Regulation Department means all Exchange Officials and/or agents of the Exchange that assist the Exchange in the implementation, surveillance and enforcement of the Exchange Rules and other Obligations.
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Market Regulation Department means all Company Officials and agents of the Company (including the Regulatory Services Provider) that assist the Company in the implementation, surveillance and enforcement of the Rules and other Company Requirements.
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Market Regulation Department means the department within the SEF that regulates compliance with the SEF Rules. For purposes of the SEF Rules, Market Regulation Department may, as applicable, also include any Regulatory Services Provider pursuant to a Regulatory Services Agreement.
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Examples of Market Regulation Department in a sentence

  • A Person seeking an exemption from position limits for bona fide commercial purposes shall apply to the Market Regulation Department on forms provided by the Exchange, and the Market Regulation Department may grant qualified exemptions in its sole discretion.

  • The Market Regulation Department has the authority to exercise its investigatory and enforcement power where potential rule violations are identified.

  • Trading in the Contracts will be subject to Chapter 4, and the Market Regulation Department has the authority to exercise its enforcement power in the event rule violations in these products are identified.

  • The Market Regulation Department may grant exemptions from position limits for bona fide hedge positions as defined by CFTC Regulation §1.3(z)(1) or any other applicable CFTC Regulation.

  • The Market Regulation Department may grant exemptions from the position limits for risk management positions.

  • The Market Regulation Department may grant exemptions from the position limits for arbitrage, intracommodity spread, intercommodity spread, and eligible Option/Option or Option/Futures spread positions.

  • In the event that a complaint is received by the Exchange from a Customer, it shall be referred to the Market Regulation Department, which shall inform the Customer of the NFA Arbitration Program.

  • In the event that a complaint is received by the MarketAxess SEF from a Customer, it shall be referred to the Market Regulation Department, which shall inform the Customer of the NFA Arbitration Program.

  • As with any new product listed for trading on a CME Group designated contract market, trading activity in the option contract proposed herein will be subject to monitoring and surveillance by CME Group’s Market Regulation Department.

  • The first position limit violation by a Participant will result in a warning letter issued by the Market Regulation Department, with a copy provided to the carrying Clearing Firm(s).


More Definitions of Market Regulation Department

Market Regulation Department means all MarketAxess SEF Officials and/or agents (including the Regulatory Services Provider) that assist the MarketAxess SEF in the implementation, surveillance and enforcement of the MarketAxess SEF Rules and other Obligations.
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Market Regulation Department means all SEF Officials and/or agents of Tradition SEF (including the Regulatory Services Provider) that assist Tradition SEF in the surveillance of trading on the Platform and enforcement of the Rules and other Obligations.
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Market Regulation Department means the department within the SEF that regulates compliance with the SEF Rules. For purposes of the SEF Rules, Market Regulation Department may, as applicable, also include the NFA pursuant to the Regulatory Services Agreement with the NFA.
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Market Regulation Department means the department within the SEF managed and overseen by the Chief Compliance Officer that regulates compliance with the SEF Rules. For purposes of the
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Related to Market Regulation Department

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

  • Regulation CF means Regulation Crowdfunding promulgated under the Securities Act.

  • User Department means any department, division, branch or section of the procuring and disposing entity, including any project unit working under the authority of the procuring and disposing entity, which initiates procurement and disposal requirements and is the user of the requirements; and

  • 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.

  • Council Regulation means Council Regulation (EC) No. 2201/2003 of 27 November 2003 1 concerning jurisdiction and the recognition and enforcement of judgments in matrimonial matters and the matters of parental responsibility, repealing Regulation (EC) No. 1347/2000;

  • 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.

  • Health Department means the department of environmental quality, a city health department, a county health department, or a district health department, whichever has jurisdiction.

  • Local department means the local department of social services of any county or city in this

  • the Department means the Department of the Environment;

  • SEBI ICDR Regulations means Securities and Exchange Board of India (Issue of Capital and Disclosure Requirements) Regulations, 2018, as amended;