Reporting Member definition

Reporting Member means a member that receives or originates an order and has an obligation to record and report information under Rules 6954 and 6955. A member shall not be considered a Reporting Member in connection with an order, if the following conditions are met:

Reporting Member means each Member (other than Artist Services and Racing Channel for so long as such Person remains dormant).

Reporting Member means a Member that receives or originates an order and has an obligation to record and report information under IEX Rules 11.420(d) and 11.420(e).

Examples of Reporting Member in a sentence

• Paragraph (c) is based on FINRA Rule 7450(c), which permits OATS Reporting Members to enter into agreements with Reporting Agents to fulfill the OATS obligations of the OATS Reporting Member.

• The Obligor will, and will cause each Reporting Member to, maintain proper books of record and account in conformity with Relevant GAAP and all applicable material requirements of any Governmental Authority having legal or regulatory jurisdiction over the Obligor or such Reporting Member, as the case may be.

• FINRA Rule 7440(b)(18) requires an OATS Reporting Member that receives or originates an order to record the following information: “the type of account, i.e., retail, wholesale, employee, proprietary, or any other type of account designated by FINRA, for which the order is submitted.” The Compliance Rule does not require Industry Members to report to the CAT information regarding the type of account holder for which the order is submitted.

• FINRA Rule 7440(b)(14) requires a FINRA OATS Reporting Member to record the following when an order is received or originated: “any request by a customer that a limit order not be displayed, or that a block size limit order be displayed, pursuant to applicable rules.” The Compliance Rule does not require Industry Members to report to the CAT such a customer instruction flag.

• The FINRA OATS rules require OATS Reporting Members5 to record the identification of information barriers for certain order events, including when an order is received or originated, transmitted to a department within the OATS Reporting Member, and when it is modified.

More Definitions of Reporting Member

Reporting Member means a member that receives or originates an order and has an obligation to record and report information under Rules 7440 and 7450.

Reporting Member has the meaning set forth in in Section 5.6(a).

Reporting Member shall have the meaning set forth in Section 9.6.

Reporting Member has the meaning assigned to that term in Section 8.04.

Reporting Member shall have the meaning set forth in Section 10.23(c)(iii).

Reporting Member means any member who, as first party, completes a report in respect of another member;

Reporting Member means a member that receives or originates an order and has an obligation to record and report information under Rules 6954 and 6955. A member shall not be