NASD Regulations definition

NASD Regulations means the Conduct Rules of the NASD (Rules 2000 through 3420).
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NASD Regulations means the rules and regulations promulgated by the National Association of Securities Dealers, Inc.
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Examples of NASD Regulations in a sentence

  • Such arrangements are and at all times have been in compliance in all material respects with applicable Law (including but not limited to the Securities Act, the Investment Advisers Act, the Investment Company Act, ERISA and the NASD Regulations).

  • Such arrangements are and at all times have been in compliance in all material respects with applicable Law (including the Securities Act, the Investment Advisers Act, the Investment Company Act, ERISA and the NASD Regulations).

  • Safe Harbors for Business Expansions This interpretive material concerns the types of business expansions that will not require a member to submit a Rule 1017 application to obtain NASD Regulation's approval of the expansion.

  • This “Modernized CRD” system, which will permit members to submit all CRD filings electronically via NASD Regulation's World Wide Web site, is currently in development.

  • Consistent with current NASD Regulations practice, however, parties may request that the arbitrator(s) provide reasons for their decision, and the arbitrator(s) have discretion to grant or deny the request.

  • The Office of theGeneral Counsel of NASD Regulations shall be the custodian of the record.

  • NASD Regulations believes, however, that a motion to introduce new evidence generally can be best made after the parties have received copies of the official index to the record.

  • Designation of the Primary District Committee does not preclude the Chief Hearing Officer from selecting one or more Panelists from other categories of eligible Panelists if the Chief Hearing Officer determines that one or more persons from other categories of eligible Panelists more clearly meet the criteria of paragraph (d)(1) through (4) and the public interest or the administration of NASD Regulation's regulatory and enforcement program would be enhanced by the selection of such Panelists.

  • The Fees paid to NASD Regulation for Services in the United States will be inclusive of any applicable sales, use, gross receipts, excise, or other taxes attributable to periods on or after the Commencement Date based upon or measured by NASD Regulation's cost in providing the Services to Nasdaq.

  • NASD Regulation may also manipulate or process the Nasdaq Market Data to produce such derivative information as may be necessary for NASD Regulation's regulatory purposes.

Related to NASD Regulations

  • 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.

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

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

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

  • CDM Regulations means the Construction (Design and Management) Regulations 2015.

  • WHFIT Regulations Treasury Regulations section 1.671-5, as amended.

  • PPPFA Regulations means the Preferential Procurement Regulations, 2017 published in terms of the PPPFA.

  • Ground Regulations means those ground regulations issued by the Club from time to time that set out the terms and conditions upon which spectators are granted entry to the Ground.

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

  • 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.

  • 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).

  • 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.

  • Radio Regulations means the Radio Regulations annexed to, or regarded as being annexed to, the most recent International Telecommunication Convention which may be in force at any time.

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

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

  • CREST Regulations means the Uncertificated Securities Regulations 2001 (SI 2001 No. 01/378), as amended.

  • FINRA means the Financial Industry Regulatory Authority, Inc.

  • Medicaid Regulations means, collectively, (i) all federal statutes (whether set forth in Title XIX of the Social Security Act or elsewhere) affecting the medical assistance program established by Title XIX of the Social Security Act and any statutes succeeding thereto; (ii) all applicable provisions of all federal rules, regulations, manuals and orders of all Governmental Authorities promulgated pursuant to or in connection with the statutes described in clause (i) above and all federal administrative, reimbursement and other guidelines of all Governmental Authorities having the force of law promulgated pursuant to or in connection with the statutes described in clause (i) above; (iii) all state statutes and plans for medical assistance enacted in connection with the statutes and provisions described in clauses (i) and (ii) above; and (iv) all applicable provisions of all rules, regulations, manuals and orders of all Governmental Authorities promulgated pursuant to or in connection with the statutes described in clause (iii) above and all state administrative, reimbursement and other guidelines of all Governmental Authorities having the force of law promulgated pursuant to or in connection with the statutes described in clause (ii) above, in each case as may be amended, supplemented or otherwise modified from time to time.

  • the 1997 Regulations means the Zebra, Pelican and Puffin Pedestrian Crossing Regulations 1997.

  • Capital Regulations means, at any time, the regulations, requirements, guidelines and policies relating to capital adequacy of the FSA then in effect;

  • the 2002 Regulations means the Traffic Signs Regulations and General Directions 2002;

  • the 2012 Regulations means the Council Tax Reduction Schemes (Prescribed Requirements) (England) Regulations 2012;

  • the 2010 Regulations means the Occupational and Personal Pension Schemes (Automatic Enrolment) Regulations 2010;

  • 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.