Regulatory Responsibilities definition

Regulatory Responsibilities means the examination responsibilities, surveillance responsibilities and Enforcement Responsibilities relating to compliance by the Dual Members with the Common Rules and the provisions of the Exchange Act and the rules and regulations thereunder, and other applicable laws, rules and regulations, each as set forth on Exhibit 1 attached hereto.
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Regulatory Responsibilities means the examination
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Regulatory Responsibilities means the examination responsibilities and Enforcement Responsibilities relating to compliance by the Dual Members with the Common Rules and the provisions of the Exchange Act and the rules and regulations thereunder, and other applicable laws, rules and regulations, each as set forth on Exhibit 1 attached hereto. The term “RegulatoryResponsibilities” shall also include the surveillance, investigation and Enforcement Responsibilities relating to compliance by Common Members withRule 14e-4 of the Securities Exchange Act (“Rule 14e-4”), with a focus on the standardized call option provision of Rule 14e-4(a)(1)(ii)(D).
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Examples of Regulatory Responsibilities in a sentence

  • FINRA shall assume Regulatory Responsibilities and Enforcement Responsibilities for Dual Members.

  • This Regulatory Information shall be used by FINRA solely for the purposes of fulfilling its Regulatory Responsibilities.

  • Securities Exchange Act Release No. 56148 (July 26, 2007), 72 FR 42146 (August 1, 2007) (File No. 4-544) (Notice of Filing and Order Approving and Declaring Effective a Plan for the Allocation of Regulatory Responsibilities).

  • At these meetings, the Exchange Committee will discuss the conduct of the Regulatory Responsibilities and identify issues or concerns with respect to this Agreement, including matters related to the calculation of the cost formula and accuracy of fees charged and provision of information related to the same.

  • See also paragraph 1(f) of the proposed 17d-2 Plan (defining Regulatory Responsibilities).

  • The top 90,000 instances of the KDD Cup 1999 data stream were used for the creation of the three base models MW1, MW2 and MW3 for the initial ensemble.

  • FINRA shall charge each Participating Organization a Quarterly Fee in arrears for the performance of FINRA’s Regulatory Responsibilities under the Plan (each, a ‘‘Quarterly Fee,’’ and together, the ‘‘Fees’’).

  • See also paragraph 1(f) of the proposed 17d–2 Plan (defining Regulatory Responsibilities).

  • A Participating Organization shall make available to FINRA information necessary to assist FINRA in fulfilling the Regulatory Responsibilities assumed under the terms of this Agreement.

  • A ParticipatingOrganization shall make available to FINRA information necessary to assist FINRA in fulfilling the Regulatory Responsibilities assumed under the terms of this Agreement.


More Definitions of Regulatory Responsibilities

Regulatory Responsibilities means the examination responsibilities and
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Regulatory Responsibilities means the examination, surveillance
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Regulatory Responsibilities. ’ shall mean the examination and enforcement responsibility relating to compliance by the dual members and persons associated therewith with the rules of NYSE Arca that are substantially similar to the rules of NASD in that the NYSE Arca’s rule would not require NASD to develop one or more new examination standards, modules, procedures, or criteria in order to analyze the application of the rule, or a dual member’s activity, conduct, or output in relation to such rule, (the ‘‘Common Rules’’). Prior to the effective date of this Agreement, NYSE Arca shall furnish NASD with a current list of Common Rules (‘‘Certification’’), and NASD will confirm in writing whether the rules listed in the Certification are Common Rules as defined in this Agreement. Each year following the commencement of operation of this Agreement, or more frequently if required by changes in either the rules of NYSE Arca or NASD, NYSE Arca shall submit an updated list of Common Rules to NASD for review which shall add NYSE Arca rules not included in the current list of Common Rules that qualify as Common Rules as defined in this Agreement; delete NYSE Arca rules included in the current list of Common Rules that no longer qualify as Common Rules as defined in this Agreement; and confirm that the remaining rules on the current list of Common Rules continue to be NYSE Arca rules that qualify as Common Rules as defined in this Agreement. Within 30 days of receipt of such updated list, NASD will confirm in writing whether the rules listed in any updated list are Common Rules as defined in this Agreement. Regulatory responsibilities under this Agreement shall also extend to those provisions of the federal securities laws and rules and regulations thereunder listed in the Certification.
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Related to Regulatory Responsibilities

  • Financial responsibility means the ability to respond in damages for liability thereafter incurred

  • Economic activities shall in principle include activities of an industrial, commercial and professional character and activities of craftsmen;

  • Residual parental rights and responsibilities means all rights and responsibilities remaining with the

  • Extended producer responsibility ’ (EPR) means responsibility of any producer of packaging products such as plastic, tin, glass, wrappers and corrugated boxes, etc., for environmentally sound management, till end-of-life of the packaging products ;

  • Regulatory Requirements means all applicable federal and state statutes, regulations, regulatory guidance, judicial or administrative rulings, requirements of Governmental Contracts and standards and requirements of any accrediting or certifying organization, including, but not limited to, the requirements set forth in a Product Attachment.

  • Regulatory Oversight Committee means the committee of the Board constituted in accordance with Rule 204.