Examples of Securities Industry Regulations in a sentence
The regulation that applies to the firm and which relate to achieving the best possible result on behalf of our Clients when transmitting orders to our liquidity providers for execution, is the Securities Industry Regulations.
These Regulations may be cited as the Securities Industry Regulations, 2000.Interpre- 2.
Part-time student workers will support both Learning Enrichment and Academic Advising.
In May 2009, the draft Securities Industry Regulations, accompanied by the re-release of the draft Securities Industry Act, was issued for public consultation.
This policy outlines the Reserve Bank of Fiji’s minimum requirements for Continuing Professional Education (CPE), and is issued under Sections 273(4) and 274 of the Companies Act 2015 (“Act”) and Section 3 of the Reserve Bank of Fiji (Capital Markets and Securities Industry) Regulations 2015 (RBF Regulations) as part of the Reserve Bank of Fiji’s responsibility for the formulation and implementation of policies for the capital markets industry.
The following takeover rules are drafted pursuant to Securities Industry Regulations, 2012, Regulation 107.
The Securities Industry Regulations, 2000 requires that a Class 1 broker-dealer shall maintain at least $300,000 of regulatory capital, which consists of cash and cash equivalents, money market funds, government securities and listed securities.
The Securities Commission of the Bahamas (the Commission”) is responsible for the administration of the Securities Industry Act, 2011 (“SIA”) and the Securities Industry Regulations, 2012 (“SIR”).
For the words "Securities Industry Regulations" (wherever occurring) there were substituted the words "Securities Industry (New South Wales) Regulations".
Interpretation COMMODITY EXCHANGE REGULATIONS, 2014 IN the exercise of the powers conferred on the Minister responsible for Finance by Section 214 the Securities Industry Regulations 2014 (Regulations……..) and on the recommendation of the Securities and Exchange Commission, these Regulations are made this …….day of 2014.