Self-Regulatory Organization definition

Self-Regulatory Organization means any association of investment advisers or securities dealers registered under the federal securities laws, or any Exchange.

Self-Regulatory Organization means a national securities exchange registered under the Securities Exchange Act of 1934, a national securities association of broker-dealers registered under the Securities Exchange Act of 1934, a clearing agency registered under the Securities Exchange Act of 1934, or the Municipal Securities Rulemaking Board established under the Securities Exchange Act of 1934.

Self-Regulatory Organization means any U.S. or foreign commission, board, agency or body that is not a Governmental Entity but is charged with regulating its own members through the adoption and enforcement of financial, sales practice and other requirements for brokers, dealers, securities underwriting or trading, stock exchanges, swap execution facilities, commodity exchanges, commodity intermediaries, electronic communications networks, insurance companies or agents, investment companies or investment advisers.

Examples of Self-Regulatory Organization in a sentence

• Expense incurred by the Insured for that part of the costs of audits or examinations required by any governmental regulatory authority or Self-Regulatory Organization to be conducted by such authority or Organization or by an independent accountant or other person, by reason of the discovery of loss sustained by the Insured and covered by this Bond.

• Proposed Rule Change Based on Rules of Another Self-Regulatory Organization or of the Commission Not applicable.

• All NBFC-MFIs shall become member of at least one Self-Regulatory Organization (SRO) which is recognized by the Bank and shall also comply with the Code of Conduct prescribed by the SRO.

• If the Commission takes such action, the Commission shall institute proceedings to determine whether the proposed rule should be approved or disapproved.8. Proposed Rule Change Based on Rules of Another Self-Regulatory Organization or of the Commission Not applicable.

• Requirements of Self-Regulatory Organization; Actions To Be Taken In Fulfillment of Statutory Obligations.

More Definitions of Self-Regulatory Organization

Self-Regulatory Organization means any securities exchange, futures exchange, contract market, any other exchange or corporation or similar self-regulatory body or organization applicable to a Party.

Self-Regulatory Organization means any securities exchange, futures exchange, contract market, any other exchange or corporation or similar self-regulatory body or organization applicable to a Party to this Agreement.

Self-Regulatory Organization means the FINRA, the American Stock Exchange, the National Futures Association, the Chicago Board of Trade, the NYSE, any national securities exchange (as defined in the Exchange Act), any other securities exchange, futures exchange, contract market, any other exchange or corporation or similar self-regulatory body or organization.

Self-Regulatory Organization means a self-regulatory organization, including any “self-regulatory organization” as such term is defined in Section 3(a)(26) of the Securities Exchange Act, any “self-regulatory organization” as such term is defined in CFTC Rule 1.3, and any other U.S. or non-U.S. securities exchange, futures exchange, futures association, commodities exchange, clearinghouse or clearing organization.

Self-Regulatory Organization has the meaning assigned to such term in Section 3(a)(26) of the Exchange Act.

Self-Regulatory Organization means the Financial Industry Regulatory Authority, the NFA or any other self-regulatory organization under the CFTC Regulations or the rules and regulations of the SEC.

Self-Regulatory Organization means a national securities exchange registered under