NYSE Member definition

NYSE Member has the meaning set forth in Section 9.1(a)(3)(C)(iii). “NYSE MKT” has the meaning set forth in Section 9.1(a)(3)(C)(iv). “NYSE National” has the meaning set forth in Section 9.1(a)(3)(C)(v).
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NYSE Member has the meaning defined in the Preamble. “Officers” has the meaning defined in Section 3.5(a).
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NYSE Member has the meaning attributed thereto in article 34.3(c).
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Examples of NYSE Member in a sentence

  • The Holdback Period shall also be extended for the minimum period of time which is necessary for a managing or co-managing underwriter of a registered offering to comply with FINRA Rule 2711 or NYSE Member Rule 472 or any successor or similar rule or regulation.

  • Each of the DTCC Member and the NYSE Member shall appoint three Directors (the “DTCC Directors” and the “NYSE Directors”, respectively, and collectively the “Member Directors” and each a “Member Director”) and one alternate Director.

  • Rule 2711 or NYSE Member Rule 472 or any successor or similar rule or regulation.

  • See NASD and NYSE Member Regulation Combine to Form the Financial Industry Regulatory Authority – FINRA, FINRA (July 30, 2007), https://perma.cc/DY33-6EFP.

  • Ramos, expressed concern over Thain’s connection to Goldman Sachs and Goldman Sachs’ role as advisor to both NYSE and ArcaEx, stating, “[i]f Thain selected the financial advisors, and participated in these discussions, there are some serious conflicts.”75 According to the SEC filing, Thain recused himself from negotiating the terms of Goldman Sachs’ 66 Andrei Postelnicu, NYSE Member Blocks Dollars 4bn Deal with Suit Archipelago, FIN.

  • EXHIBIT 1 SECURITIES AND EXCHANGE COMMISSION(Release No. 34- ; File No. SR-NASD-2007-056) Self-Regulatory Organizations: National Association of Securities Dealers, Inc.; Notice of Filing of Proposed Rule Change to Establish a Membership Waive-In Process for Certain NYSE Member Organizations Pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 (“Act”)1 and Rule 19b-4 thereunder,2 notice is hereby given that on , the National Association of Securities Dealers, Inc.

  • Examinations were conducted in Florida, California, Texas, Arizona, North Carolina, Alabama and South Carolina by state securities regulators in those states, NASD and the NYSE Member Regulation Inc.

  • NYSE has satisfied this requirement.15 17 CFR 240.19b–4(f)(6).16 17 CFR 240.19b–4(f)(6).or which applied for a trading license, 17 For purposes only of waiving the 30-dayoperative delay, the Commission has considered thefails to meet the requirements of the NYSE Member Organization Rules by11 15 U.S.C. 78f(b)(5).12 15 U.S.C. 78k–1(a)(1).proposed rule’s impact on efficiency, competition, and capital formation.

  • See Press Release, FINRA, NASD and NYSE Member Regulation Combine to Form the Financial Industry Regulatory Authority (July 30, 2007), available at http://www.finra.org/newsroom/2007/nasd-and-nyse-member-regulation-combine-form-financial-industry-regulatory- authority.

  • Since 1991, he has been working directly with African diaspora associations in France .


More Definitions of NYSE Member

NYSE Member has the meaning set forth in Section 9.1(a)(3)(iii). “NYSE MKT” has the meaning set forth in Section 9.1(a)(3)(iii). “Original Agreement” has the meaning set forth in the recitals to this
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NYSE Member has the meaning defined in the Preamble.
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Related to NYSE Member

  • Principal Member means the person who signs the application and is responsible for the payment of premiums.

  • Initial Member has the meaning set forth in the introductory paragraph.

  • Associate Member means a person appointed to perform specific statutory and non-statutory duties which have been delegated by the Trust Board for them to perform and these duties have been recorded in an appropriate Trust Board minute or other suitable record.

  • Tribal Member means an enrolled member of the Tribe.

  • Managing Member means CEF Equipment Holding, L.L.C., a Delaware limited liability company or any successor Managing Member under the Issuer Limited Liability Company Agreement.

  • Special Member means, upon such person’s admission to the Company as a member of the Company pursuant to Section 5(c), a person acting as Independent Director, in such person’s capacity as a member of the Company. A Special Member shall only have the rights and duties expressly set forth in this Agreement.

  • Trading Member means a Person who has been approved by Nadex to trade directly and not through a FCM Member on the Market, and does not include any FCM Member.

  • Financial Member means a person who has paid the required membership fee and is listed on the Register of Members.

  • New member means a person first employed on or after Septem- ber 1, 2005, including a former member who withdrew retirement contributions under Government Code 822.003 and is reemployed on or after September 1, 2005.

  • Potential Member means an individual who meets the eligibility requirements to enroll in the Oregon Health Plan but has not yet enrolled with a specific PHP or CCO.

  • Full Member means any person who is in one of the categories of membership referred to in Rule 10.3.

  • Council Member means a member of the Council;

  • Trading Partner means any external computer interoperating with a Licensed Component through one or more protocols, one or more networks, or one or more adapters;

  • Corporate Member means, corporate entity who have entered into a Membership Agreement with DOCOMO BIKESHARE, INC. under the Bicycle Rental (Sharing) system in pursuant to Article 3, such as profit corporations, non-profit corporations, public corporations, and those with juridical personality by law.

  • Panel Member ’ means a member of a panel;

  • General Partner means the Company or its successors as general partner of the Partnership.

  • Limited Partner means, prior to the admission of the first Additional Limited Partner to the Partnership, the Initial Limited Partner, and thereafter any Person named as a Limited Partner in Exhibit A, as such Exhibit may be amended from time to time, upon the execution and delivery by such Person of an additional limited partner signature page, or any Substituted Limited Partner or Additional Limited Partner, in such Person’s capacity as a Limited Partner of the Partnership.

  • Executive Member means any elected member of the authority appointed to the executive of that authority;

  • the Members means the members of the Club admitted from time to time to membership of the Club in accordance with Rule 5;

  • Initial Members means those Persons whose names are set forth in the first sentence of this Agreement. A reference to an “Initial Member” means any of the Initial Members.

  • Staff member means a staff member as defined in section 1(1) of the Public Service Act, 1995 (Act No. 13 of 1995);

  • Associate Members means the individuals or firms which have agreed to Joint Venture in connection with the Project;

  • General Partners means all such Persons.

  • A Member means a companion, fellow, member, honorary member, associate or affiliate of the Society

  • Scheme Member means an Eligible Person who is included in the Scheme as per the Scheme rules as member of that Scheme.

  • Founder Member means a subscriber to these rules for the purposes of registration;