Participating SRO definition

Participating SRO means an SRO that is a party to or that becomes a party to the Industry Agreement.
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Participating SRO means an SRO that is a party to or that becomes a party to the Industry Agreement. “Principal Regulator” means the Regulator that is designated as such from time to time.
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Examples of Participating SRO in a sentence

  • The CIPF must assist a Participating SRO when a Member Firm is in or is approaching financial difficulty.

  • The CIPF must comply with the Industry Agreement signed with IIROC and any Participating SRO.

  • The CIPF must enter into and comply with the Industry Agreement signed with IIROC and any Participating SRO.

  • The CIPF must enter into and comply with the Industry Agreement signed with the IIROC and any Participating SRO.

  • For Member Firm insolvencies, the report will describe the circumstances of the insolvency, including a summary of the actions taken by the Member Firm, the Participating SRO and the CIPF and any committee or person acting on behalf of such parties.

  • It provides protection on a discretionary basis to prescribed limits to eligible Customers of Participating SRO Member Firms suffering losses if Customer property comprising securities, cash and other property held by such Member Firms is unavailable as a result of the insolvency of a Member Firm and, in connection with such coverage, will engage in risk management activities to minimize the likelihood of such losses.

  • These reports will be delivered within 90 days of the action taken by the CIPF or Participating SRO or the liquidation of the Member Firm or at such other time as agreed to between the parties hereto.

Related to Participating SRO

  • Participating Shares means shares that entitle their holders to participate without limitation in distributions.

  • Participating school means a nonpublic school participating in the

  • Participating School District As used in Exhibit G and other Exhibits to the DPA, the term Participating School District shall mean a New York State educational agency, as that term is defined in Education Law Section 2-d, that obtains access to the Services through a CoSer agreement with LEA, and shall include LEA if it uses the Services in its own educational or operational programs.

  • Participating Company means the Company or any Parent Corporation or Subsidiary Corporation.

  • Participating Party means an enterprise or public body that has committed itself to reaching certain objectives under a voluntary agreement, or is covered by a national regulatory policy instrument;

  • Participating Provider means an Administrator Hospital or Professional Provider which has a written agreement with the Claim Administrator or another Blue Cross and/or Blue Shield Plan to provide services to participants in the Participating Provider Option program or an Administrator facility which has been designated by the Claim Administrator as a Participating Provider.

  • Participating physician means a physician licensed in Virginia to practice medicine, who practices

  • Participating agency means any LEA, agency or institution that collects, maintains, or uses personally identifiable information, or from which information is obtained, under Part B of the IDEA.

  • Participating Company Group means, at any point in time, all corporations collectively which are then Participating Companies.

  • Participating Dealer means any licensed broker or dealer and who has entered into a Participation Agreement in form and substance acceptable to the Manager and the Trustee.

  • Participating employee means an employee whose election to participate in a Plan has been approved by the employer.