Regulatory Supervising Organization means, as applicable, FINRA, the SEC or any governmental or self-regulatory organization, exchange, clearing house or financial regulatory authority of which a Broker-Dealer Subsidiary is a member or to whose rules it is subject.

Regulatory Supervising Organization means any of (a) the SEC, (b) FINRA, (c) the New York Stock Exchange, (d) state securities commissions and (e) any other U.S. or foreign governmental or self-regulatory organization, exchange, clearing house or financial regulatory authority of which the Borrower or any Restricted Subsidiary is a member or to whose rules it is subject.

Examples of Regulatory Supervising Organization in a sentence

Each Pledgor shall cooperate fully in obtaining the consent of FINRA and the approval or consent of each other Regulatory Supervising Organization required to effectuate the foregoing.
To the extent permitted by FINRA regulations, such receiver shall be instructed to seek from the Regulatory Supervising Organization a transfer of any such Affected Pledged Equity for the purpose of seeking a purchaser or other transferee to whom it will ultimately be transferred.
The Borrower will not permit any Designated Regulated Subsidiary to become subject to any injunction or agreement of any type, formal or informal, with any Governmental Authority or Regulatory Supervising Organization if the result thereof would be to prohibit the conduct of all or a material portion of the business of the Borrower and its Restricted Subsidiaries that, taken as a whole, could reasonably be expected to have a Material Adverse Effect.
To the extent permitted by FINRA regulations, such receiver shall be instructed to seek from each Regulatory Supervising Organization a transfer of any such Affected Pledged Stock for the purpose of seeking a purchaser or other transferee to whom it will ultimately be transferred.
As of the Closing Date, neither Holdings nor any of its Subsidiaries has received any extraordinary supervisory letter from, or adopted any resolutions at the request of, any Regulatory Supervising Organization or Governmental Authority charged with the supervision or regulation of any Subsidiary.

More Definitions of Regulatory Supervising Organization

Regulatory Supervising Organization means as applicable, FINRA, the SEC or any governmental or self-regulatory organization, exchange, clearing house or financial regulatory authority of which any entity is a member or to whose rules or regulations it is subject.

Regulatory Supervising Organization means any of (a) the SEC, (b) the Financial Industry Regulatory Authority, (c) the Chicago Stock Exchange, (d) the Commodity Futures Trading Commission, (e) state securities commissions, (f) the Irish Financial Regulator and (g) any other U.S. or foreign governmental or self-regulatory organization, exchange, clearing house or financial regulatory authority of which any Subsidiary is a member or to whose rules it is subject. “Related Business Assets” means assets (other than cash or Cash Equivalents) used or useful in a similar business to a business conducted by Holdings or any of its Restricted Subsidiaries; provided that any assets received by the Issuer or a Restricted Subsidiary in exchange for assets transferred by Holdings or a Restricted Subsidiary shall not be deemed to be Related Business Assets if they consist of securities of a Person, unless upon receipt of the securities of such Person, such Person would become a Restricted Subsidiary. “Repo Agreement” means any of the following: repurchase agreements, reverse repurchase agreements, sell buy backs and buy sell backs agreements, securities lending and borrowing agreements and any other agreement or transaction similar to those referred to above in this definition. “Requirements of Law” means, with respect to any Person, any statutes, laws (common, statutory or otherwise), treaties, rules, regulations (including any official interpretations thereof), orders, decrees, writs, injunctions or determinations of any arbitrator or court or other Governmental Authority or Regulatory Supervising Organization, in each case applicable to or binding upon such Person or any of its property or to which such Person or any of its property is subject. “Responsible Officer” means, of any Person, any executive officer or financial officer of such Person and any other officer or similar official thereof with significant responsibility for the administration of the obligations of such Person in respect of this Indenture. “Restricted Cash” means cash and Cash Equivalents held by Restricted Subsidiaries that would appear as “restricted” on a consolidated balance sheet of Holdings or any of its Restricted Subsidiaries. “Restricted Definitive Note” means a Definitive Note bearing the Private Placement Legend. “Restricted Global Note” means a Global Note bearing the Private Placement Legend. “Restricted Investment” means an Investment other than a Permitted Investment.

Regulatory Supervising Organization means any of (i) the SEC, (ii) the Financial Industry Regulatory Authority, (iii) the Chicago Stock Exchange, (iv) the Commodity Futures Trading Commission, (v) state securities commissions, (vi) the Irish Financial Regulator and(vii) any other United States or foreign governmental or self-regulatory organization, exchange, clearing house or financial regulatory authority of which any Subsidiary is a member or to whose rules it is subject.

Regulatory Supervising Organization means any of (a) the SEC, (b) the Financial Industry Regulatory Authority, (c) the Chicago Stock Exchange,

Regulatory Supervising Organization means any of (a) the Commodity Futures Trading Commission, (b) the National Futures Association,

Regulatory Supervising Organization means, as applicable, FINRA, the SEC or any

Regulatory Supervising Organization definition

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