NASD Regulation definition

NASD Regulation means NASD Regulation, Inc.;
Sample 1Sample 2Sample 3
NASD Regulation means the subsidiary of the NASD with responsibilities for regulation of NASD members.
Sample 1
NASD Regulation administrative functions reasonably related necessary for NASD Regulation's performance in connection with any of the foregoing; and
Sample 1

Examples of NASD Regulation in a sentence

  • Xxxxx, Chief of the Office of Small Business Policy of the Securities and Exchange Commission’s Division of Corporation Finance, to Xxx Worm of NASD Regulation, Inc., dated January 21, 2000.

  • In its filing with the Commission, NASD Regulation included statements concerning the purpose of and basis for the proposed rule change and discussed any comments it received on the proposed rule change.

  • NASD Regulation does not believe that the proposed rule change will result in any burden on competition that is not necessary or appropriate in furtherance of the purposes of the Act, as amended.

  • Xxxxx, Chief of the Office of Small Business Policy of the Securities and Exchange Commission’s Division of Corporation Finance, to Kxx Worm of NASD Regulation, Inc., dated January 21, 2000.

  • NASD Regulation does not consent at this time to an extension of the time period for Commission action specified in Section 19(b)(2) of the Act.

  • NASD Regulation has prepared summaries, set forth in Sections (A), (B), and (C) below, of the most significant aspects of such statements.

  • Adkins, Senior Vice President and General Counsel, NASD Regulation, to Katherine A.

  • NASD Regulation believes that the proposed rule change is consistent with the provisions of Section 15A(b)(6) of the Act, which requires, among other things, that the Association’s rules must be designed to prevent fraudulent and manipulative acts and practices, to promote just and equitable principles of trade, and, in general, to protect investors and the public interest.

  • The proposed rule change was approved by the Board of Directors of NASD Regulation, Inc.

  • Pursuant to the requirements of the Securities Exchange Act of 1934, NASD Regulation has duly caused this filing to be signed on its behalf by the undersigned thereunto duly authorized.


More Definitions of NASD Regulation

NASD Regulation. NASDR," "The Nasdaq Stock Market, Inc.," "Nasdaq", "American Stock Exchange LLC", or "AMEX" in any advertising, informational, promotional or other media or materials of the Voting Trustee without the prior written consent of the NASD. The Voting Trustee shall not use any trademark, service mark, copyright, or patent ox xxe NASD or any of its subsidiaries or affiliates, registered, or unregistered without the prior written consent of the NASD.
Sample 1

Related to NASD Regulation

  • CSD Regulations means the CSD’s rules and regulations applicable to the Issuer, the Agent and the Notes from time to time.

  • NASD Rules means the Rules of the National Association of Securities Dealers, Inc., as amended from time to time.

  • AT&T-10STATE means the AT&T owned ILEC(s) doing business in Arkansas, Illinois, Indiana, Kansas, Michigan, Missouri, Ohio, Oklahoma, Texas and Wisconsin.

  • AIFM Regulation means Commission Delegated Regulation (EU) No. 231/2013.

  • SRM Regulation means Regulation (EU) No. 806/2014 of the European Parliament and of the Council of 15 July 2014, establishing uniform rules and a uniform procedure for the resolution of credit institutions and certain investment firms in the framework of the Single Resolution Mechanism and the Single Resolution Fund and amending Regulation (EU) No. 1093/2010, as amended or replaced from time to time (including by the SRM Regulation II).

  • State purchased health care or "health care" means medical

  • DR means an American Depositary Receipt, European Depositary Receipt, or Global Depositary Receipt or similar instrument issued by a depositary to represent the underlying securities held by the depositary.

  • managing dealer means a person that has entered into an agreement with an issuer under which the person has agreed to organize and participate in the solicitation of the exercise of the rights issued by the issuer;

  • FRB Regulation D means Regulation D as promulgated by the Board of Governors of the Federal Reserve System, 12 CFR Part 204, as amended.

  • Securities Trading Act means the Securities Trading Act of 2007 no.75 of the Relevant Jurisdiction.

  • SEC Regulation D means Regulation D as promulgated under the Securities Act of 1933, as amended, as the same may be in effect from time to time.

  • Public school academy means a public school academy or strict discipline academy organized under the revised school code, 1976 PA 451, MCL 380.1 to 380.1852.

  • CRD IV Regulation means Regulation (EU) No. 575/2013 on prudential requirements for credit institutions and investment firms of the European Parliament and of the Council of 26 June 2013, as the same may be amended or replaced from time to time.

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

  • FINRA means the Financial Industry Regulatory Authority.

  • SECP or “Commission” means Securities and Exchange Commission of Pakistan established under Securities and Exchange Commission of Pakistan Act, 1997 and shall include its successor.

  • Regulation G means Regulation G of the Board of Governors of the Federal Reserve System as from time to time in effect and any successor to all or a portion thereof.

  • AT&T-4STATE means the AT&T owned ILEC(s) doing business in Arkansas, Kansas, Missouri and Oklahoma.

  • CFAF means the currency of the Borrower;

  • HOD means the Head of the Department concerned.

  • Federal Health Care Program means any “federal health care program” as defined in 42 U.S.C. § 1320a-7b(f), including Medicare, state Medicaid programs, state CHIP programs, the Veterans Administration, TRICARE and similar or successor programs with or for the benefit of any Governmental Authority, and in each case any third party payor administering such programs.

  • Short-rotation coppice means a specific management regime whereby the poles of trees are cut every one to two years and which is aimed at producing biomass for energy. It is exempt from the UK government timber procurement policy requirements and falls under agricultural regulation and supervision rather than forestry. The exemption only refers to short-rotation coppice, and not 'conventional' coppice which is forest management and therefore subject to the timber policy.

  • Repurchase Rules and Regulations shall have the meaning specified in Section 6.14 of the Indenture.

  • OHS Regulation means the Workers Compensation Act (British Columbia), including without limitation, the Occupational Health & Safety Regulation (BC Regulation 296/97, as amended by BC Regulation 185/99) enacted pursuant to such Act, all as such Act or Regulations are amended or re-enacted 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.

  • Public school means any institution or activity operated by