Regulated Persons means certain broker-dealers and registered investment advisers that are subject to prohibitions against participating in pay-to-play practices and are subject to the SEC’s oversight and, in the case of broker-dealers, the oversight of a registered national securities association, such as FINRA.

Regulated Persons means persons who are or were formerly (i) Dealer Members, (ii) members, users or subscribers of or to Marketplaces for which the Corporation is the regulation services provider, (iii) the respective representatives as designated in the Rules of any of the foregoing, and (iv) other persons subject to the jurisdiction of the Corporation.

Regulated Persons means persons who are or were formerly (i) Dealer Members, including for greater certainty, members of the Corporation’s predecessors, (ii) members, users or subscribers of or to, or other entities that are allowed to trade directly on, Marketplaces for which the Corporation is the regulation services provider, (iii) the respective Approved Persons and other representatives of those persons set out in subsection (i) and (ii) , and (iv) other persons subject to the jurisdiction of the Corporation.

Examples of Regulated Persons in a sentence

The Regulated Persons Index is a database containing the names, ad- dresses, phone/fax numbers and finan- cial responsibility information, where applicable, of Commission-regulated entities.
Any suspension or modification may be made either before or after the relevant By-law or Rule has become effective, and notice of the suspension or modification shall be given promptly to all Regulated Persons and to the securities regulatory authority in any jurisdiction where such By-law or Rule would otherwise be in effect.
All such Rules for the time being in force, unless expressly otherwise provided, shall be binding upon all Regulated Persons.
The Board may suspend or modify the application of any By-law or Rule, or provision thereof, for such period of time as it may determine in its sole discretion in order to facilitate the orderly application of and compliance with such By-law or Rule to or by all or any number or class of Regulated Persons.
Commodity Pool Operators; Exclusion for Certain Otherwise Regulated Persons From the Definition of the Term “Commodity Pool Operator,” Final Rules, 50 Fed.

More Definitions of Regulated Persons

Regulated Persons means a licensee, an investment fund, an investment fund administrator;

Regulated Persons means, generally, (1) brokers or dealers, or persons associated with a broker or dealer (which includes buy-side or sell-side analysts);

Regulated Persons has the meaning specified in Section (20)(b) of Schedule C.

Regulated Persons means a person, including generators, carriers, and receivers of subject waste required to report under and comply with the requirements of the Hazardous Waste Regulation.

Regulated Persons means a licensee, an investment fund, an investment fund administrator or other person as prescribed;

Regulated Persons means, generally, (1) brokers or dealers, or persons associated with a broker or dealer (which includes buy-side or sell-side analysts); (2) investment advisers, investment managers or persons associated with an investment adviser or investment managers; (3) investment companies (including mutual funds) and certain entities that would be investment companies but for certain exceptions, or an affiliated person of any such entity; and (4) holders of any of the Company’s securities; provided that in the case of this clause (4) it is reasonably foreseeable that such holder will purchase or sell Company securities on the basis of selectively disclosed information. Given the potentially serious consequences of violations of Regulations, when in doubt assume that the recipient of the information is a Regulated Person and promptly consult the General Counsel or the head of Investor Relations.

Regulated Persons means Mindset, the Mindset Subsidiary and each contractor or other person (including any distributor contract manufacturing organization or contract research organization) which, to the Knowledge of Mindset, is acting on behalf of Mindset or the Mindset Subsidiary in relation to a Company Product or Research Program.