Proprietary Trading Firm definition

Proprietary Trading Firm means an ETP Holder that trades its own capital and that does not have "customers," as that term is defined in NYSE National Rule 6.7410(c), and that is not a FINRA member. The funds used by a Proprietary Trading firm must be exclusively firm funds and all trading must be in the firm's accounts. Traders must be owners of, employees of, or contractors to the firm.
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Proprietary Trading Firm means a legal entity trading its own capital on its own account for direct trading gains and in no event holding, trading and/or managing third party funds;
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Proprietary Trading Firm means an entity which (a) is organised as a corporation, limited liability company, general or limited partnership, statutory business trust or common law business trust under the laws of a state of the United States of America and has its principal place of business in the United States of America, (b) is not a bank, insurance company, stockbroker (including a stockbroker registered with theU.S. Securities and Exchange Commission under Section 15 (b) of the U.S. Securities Exchange Act of 1934, as amended, 15 U.S. Code § 78o(b), a commodity broker (including an FCM registered as such with the CFTC) or a railroad, and
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Examples of Proprietary Trading Firm in a sentence

  • Indicate if the applying Firm is a Proprietary Trading Firm or Trading Arcade: Proprietary Trading Firm Trading Arcade 2.

  • Indicate if the applying Firm is a Proprietary Trading Firm or Trading Arcade:Proprietary Trading Firm Trading Arcade2.

  • Recent approaches have suggested utilizing GPUs [9] and Convolutional Neural Networks (CNNs) [7] to accelerate the computations.

  • By its very nature, a matched principal brokerage (as opposed to a Proprietary Trading Firm) has a low risk appetite.THE RISK IDENTIFICATION PROCESS1 BackgroundThe Capital Requirements Directive (CRD) includes basic requirements for institutions to have robust governance arrangements and effective processes in managing all risks.

  • Indicate if the applying Firm is a Proprietary Trading Firm or Trading Arcade: Proprietary Trading FirmTrading Arcade 2.

  • As stated in the Offer of Settlement, the parties agreed on the following (inter alia) facts: • TradeLink has been a foreign approved participant of the Bourse since September 23, 2014 • TradeLink operates as a Proprietary Trading Firm which does not deal with any clients.


More Definitions of Proprietary Trading Firm

Proprietary Trading Firm means an entity which (a) is organised as a corporation, limited liability company, general or limited partnership, statutory business trust or common law business trust under the laws of a state of the United States of America and has its principal place of business in the United States of America, (b) is not a bank, insurance company, stockbroker (including a stockbroker registered with theU.S. Securities and Exchange Commission under Section 15(b) of the U.S. Securities Exchange Act of 1934, as amended, 15 U.S. Code § 78o(b), a commodity broker (including an FCM registered as such with the CFTC) or a railroad, and (c) only clears transactions for its own account or the account of its Affiliates and not for the account of either a “30.7 customer” within the meaning of CFTC Rule 30.1 (f) or a foreign futures customer as described in Section 761(9) of the Bankruptcy Code.
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Proprietary Trading Firm means an LTSE Member that trades its own
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Proprietary Trading Firm means an entity which (a) is organised as a corporation, limited liability company, general or limited partnership, statutory business trust or common law business trust under the laws of a state of the United States of America and has its principal place of business in the United States of America, (b) is not a bank, insurance company, stockbroker (including a stockbroker registered with the
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Related to Proprietary Trading Firm

  • Disclosing Party means the Party disclosing Confidential Information to the Receiving Party.

  • Discloser means that Party to this Agreement which has disclosed Confidential Information to the other Party.

  • Secret or “Top Secret”; or  is exempt information as set out in Part 2 of FOISA (disregarding for that purpose whether a provision of Part 2 does not confer absolute exemption within the meaning of section 2(2) of FOISA).

  • Trade Secrets means any trade secrets, confidential business information, concepts, ideas, designs, research or development information, processes, procedures, techniques, technical information, specifications, operating and maintenance manuals, engineering drawings, methods, know-how, data, mask works, discoveries, inventions, modifications, extensions, improvements, and other proprietary rights (whether or not patentable or subject to copyright, trademark, or trade secret protection).