Securities Market Maker definition

Securities Market Maker. ( ) means an exchange participant which is registere d with the Stock Exchange Company for the purpose of performing market making or liquidity providing activities in respect of securities listed or admitted to trading on the recognized stock market it operates in accordance with its rules and an issuer of structured products which are listed on the recognized stock market operated by the Stock Exchange Company under Chapter 15A of its Listing Rules;
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Securities Market Maker. ( 證券莊家) means a person who is registered with the Exchange Company for the purpose of performing, in accordance with rules made by the Exchange Company, market making or liquidity providing activities in respect of listed securities or an issuer of structured products which are listed on the Unified Exchange under Chapter 15A of the Listing Rules.”.
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Securities Market Maker. (證券莊家) means a person who is registered with the Stock Exchange Company for the purpose of performing, in accordance with rules made by the Stock Exchange Company under section 23 of the Ordinance, market making or liquidity providing activities in respect of securities listed or admitted to trading on the recognized stock market it operates or an issuer of any structured product listed on the recognized
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Examples of Securities Market Maker in a sentence

  • Reminded market makers of ETFs to ensure compliance with applicable laws, rules, regulations and conduct requirements administered or issued by the SFC (including the Code of Conduct for Persons Licensed by or Registered with the Securities and Futures Commission) and the applicable rules of SEHK when conducting their business activities (including the Securities Market Maker Regulations), including in particular to:1.

  • Prior to 10:15 a.m. on the next trading day following T day (T+1 day), a completed Form SD-4 to report Market Maker jobbing transactions of the T day shall be submitted by a Market Maker and a completed Form SD-5 to report SMM Market Making transactions of the T day by a Securities Market Maker.

  • The Exchange Participant which is applying for a Securities Market Maker permit, will be notified in writing by the Exchange of the grant of each Securities Market Maker permit for each Market Making Security.

  • The Securities Market Maker shall immediately notify the Exchange in writing when the agreement referred to in this Regulation ceases to have any effect or the Securities Market Maker has reasons to believe that such an agreement shall become so.

  • In these circumstances, the Exchange may revoke the registration of the Designated Specialist and remove its name and other related details from the Register of Designated Specialists.(c) A Securities Market Maker shall ensure that each of its Designated Specialists comply with the conditions set out in or prescribed under Regulation (5B)(a) at all times.

  • The decision of the Exchange in respect of the admission or rejection in relation to an application to become a Securities Market Maker shall be final and conclusive.

  • These Regulations apply to short selling of securities other than Securities Market Maker Short Selling, Structured Product Liquidity Provider Short Selling, Designated Index Arbitrage Short Selling, Stock Futures Hedging Short Selling, Structured Product Hedging Short Selling and Options Hedging Short Selling.

  • For the avoidance of doubt, the market making transactions in a Market Making Security in respect of which an exemption is claimed under Section 10.8.3(xii), (xiii) or (xv) may be conducted by a Securities Market Maker for its own account, or for the account of any of its affiliates or for the account of any of its Designated Specialists as part of its or their market making activities in accordance with the Exchange Rules.

  • A Designated Dealer is not required to act as a Market Maker or Securities Market Maker (as defined in the Rules of the Exchange) and does not need to undertake to create or make a market in the securities on the Hong Kong market.

  • A Securities Market Maker Short Selling could be made on the Exchange below the best current ask price.


More Definitions of Securities Market Maker

Securities Market Maker. (證券莊家) means a person who is registered with the Stock Exchange Company for the purpose of performing, in accordance with rules made by the Stock Exchange Company under section 23 of the Ordinance, market making or liquidity providing activities in respect of
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Related to Securities Market Maker

  • Securities Market means an established securities market.

  • Farmers market means a marketplace which operates seasonally, principally as a common market for Iowa-produced farm products on a retail basis for consumption elsewhere.

  • Reference Market-makers means four leading dealers in the relevant market selected by the party determining a Market Quotation in good faith (a) from among dealers of the highest credit standing which satisfy all the criteria that such party applies generally at the time in deciding whether to offer or to make an extension of credit and (b) to the extent practicable, from among such dealers having an office in the same city.

  • Reference Market-Maker means a leading dealer in the relevant market that is selected in a commercially reasonable manner and is not an affiliate of either party.

  • Relevant Stock Exchange for the Fund means the primary exchange or quotation system on which shares (or other applicable securities) of the Fund are traded, as determined by the Calculation Agent.

  • Stock Exchanges means BSE Limited and National Stock Exchange of India Limited;

  • Stock Exchange The Stock Exchange of Hong Kong Limited

  • Securities Exchange means, at any time, the registered national securities exchange on which the Corporation’s equity securities are then principally listed or traded, which shall be the New York Stock Exchange or NASDAQ Global Market (or similar national quotation system of the NASDAQ Stock Market) (“NASDAQ”) or any successor exchange of either the New York Stock Exchange or NASDAQ.

  • Stock Exchange Rules means the applicable rules of any stock exchange upon which Shares are listed;

  • National Securities Exchange means an exchange registered with the Commission under Section 6(a) of the Exchange Act (or any successor to such Section).

  • Recognized Stock Exchange means any stock exchange agreed upon by the competent authorities of the Contracting Parties;

  • NYSE means the New York Stock Exchange.

  • Irish Stock Exchange means the Irish Stock Exchange Limited.

  • Approved Stock Exchange means the New York Stock Exchange, NASDAQ or such other stock exchange in the United States of America, the United Kingdom or Hong Kong as is approved in writing by the Facility Agent or, in each case, any successor thereto.

  • Stock Market means a market, or other place at which, or a facility by means of which—

  • Securities Exchange Act of 1934 means the United States Securities Exchange Act of 1934, as from time to time amended.

  • Nasdaq National Market means the National Association of Securities Dealers Automated Quotation National Market or any successor national securities exchange or automated over-the-counter trading market in the United States.

  • Primary Market means on any of (a) the American Stock Exchange, (b) New York Stock Exchange, (c) the Nasdaq Global Select Market, (d) the Nasdaq Global Market, (e) the Nasdaq Capital Market, or (e) the Over-the-Counter Bulletin Board (“OTCBB”)

  • NASDAQ means The Nasdaq Stock Market, Inc.

  • Securities Exchange Act means the Securities Exchange Act of 1934, as amended.

  • securities dealer means a person or entity that is authorized under provincial legislation to engage in the business of dealing in securities or any other financial instruments or to provide portfolio management or investment advising services.

  • Market Maker means a broker or dealer permitted by the SEHK to act as such by making a market for the Units in the secondary market on the SEHK.

  • recognised stock exchange means any stock exchange agreed upon by the competent authorities of the Contracting Parties;

  • the London Stock Exchange means London Stock Exchange plc;

  • London Stock Exchange means London Stock Exchange plc;

  • Portal Market means The Portal Market operated by the National Association of Securities Dealers, Inc. or any successor thereto.