SRO Clearing Member definition

SRO Clearing Member. – means a Clearing Member that is within the audit jurisdiction of the Investment Industry Regulatory Organization of Canada.
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Examples of SRO Clearing Member in a sentence

  • An SRO Clearing Member shall advise the Corporation immediately if such Clearing Member enters any early warning level (as defined from time to time by the Investment Industry Regulatory Organization of Canada.) A Bank Clearing Member shall advise the Corporation immediately if such Clearing Member fails to meet the minimum capital adequacy requirements that may be set from time to time by the Office of the Superintendent of Financial Institutions.

  • Section A-305 Filing Procedures (1) Each SRO Clearing Member shall deliver to the Corporation one copy of Parts I and II of the Joint Regulatory Financial Questionnaire and Report, together with the certificate of partners or directors, as required by the self-regulatory body of which such SRO Clearing Member is a member, in the form prescribed by such self-regulatory body at the same time such documents are provided to the self-regulatory body.

  • Along with Sodexo, Noldus IT and Kampri Group, this research facility implemented an experimental “Restaurant of the future”, allowing close observation of consumers’ eating and drinking behaviour.

  • An SRO Clearing Member shall advise the Corporation immediately if such Clearing Member enters any early warning level (as defined from time to time by the Investment Industry Regulatory Organization of Canada).

  • Amended 9/87, 4/91, 9/94, 9/96, 9/98 Section A--305 Filing Procedures (1) Each SRO Clearing Member shall deliver to the Corporation one copy of Parts I and II of the Joint Regulatory Financial Questionnaire and Report, together with the certificate of partners or directors, as required by the self--regulatory body of which such SRO Clearing Member is a member, in the form prescribed by such self--regulatory body at the same time such documents are provided to the self-regulatory body.

  • This shows that Taal is not yet in the modern way of advertising their destination.Based from the review of literature, according to an article of McGonelle (2011), he stated that social media is developing into a standard practicefor communications and rather than avoiding it, businesses should actively take steps to engage these online audiences.

Related to SRO Clearing Member

  • Clearing Member means a registered broker-dealer which is a clearing member under the rules of O.C.C. and a member of a national securities exchange qualified to act as a custodian for an investment company, or any broker-dealer reasonably believed by the Custodian to be such a clearing member.

  • Trading Member means a Person who has been approved by Nadex to trade directly and not through a FCM Member on the Market, and does not include any FCM Member.

  • Foreign Clearing Agency means Clearstream and the Euroclear Operator.

  • Recognised Clearing System means any clearing system listed in Section 246A of the Taxes Act (including, but not limited to, Euroclear, Clearstream Banking AG, Clearstream Banking SA and CREST) or any other system for clearing shares which is designated for the purposes of Chapter 1A in Part 27 of the Taxes Act, by the Irish Revenue Commissioners, as a recognised clearing system.

  • Exchanging Member means a Member that Exchanges some or all of its Units.

  • Clearing Participant means a person admitted as a participant under the Clearing Rules.

  • Relevant Clearing System means (i) Euroclear, (ii) Clearstream, Luxembourg, or (iii) any other recognised clearing system in which ETP Securities of a Series may be cleared.

  • Clearing Agent means Clearstream Banking AG, Euroclear Bank S.A., and Clearstream Banking S.A. and such further or alternative clearing agent(s) or clearance system(s) as may be approved by the Issuer from time to time and notified to the Holders in accordance with General Condition 4 (each a “Clearing Agent” and together the “Clearing Agents”);

  • Trading Partner means an entity that has registered with the Commission to exchange data through Electronic Data Interchange.

  • Redeeming Member has the meaning set forth in Section 11.01(a).

  • Managing Member means CEF Equipment Holding, L.L.C., a Delaware limited liability company or any successor Managing Member under the Issuer Limited Liability Company Agreement.

  • Global warming potential means how much a given mass of a chemical contributes to global warming over a given time period compared to the same mass of carbon dioxide. Carbon dioxide's global warming potential is defined as 1.0.

  • Voting Member means a Member holding one or more Voting Shares.

  • Transferring Member has the meaning set forth in Section 9.4.

  • Principal Member means the person who signs the application and is responsible for the payment of premiums.

  • Founding Member means any individual who is either:

  • Clearing Agency Participant means a broker, dealer, bank, other financial institution or other Person for whom from time to time a Clearing Agency effects book-entry transfers and pledges of securities deposited with the Clearing Agency.

  • Selling Member has the meaning set forth in Section 10.5(a).

  • Clearing Corporation The meaning specified in Section 8-102(a)(5) of the UCC.

  • Clearing Corporation Security means securities which are in the custody of or maintained on the books of a Clearing Corporation or a nominee subject to the control of a Clearing Corporation and, if they are Certificated Securities in registered form, properly endorsed to or registered in the name of the Clearing Corporation or such nominee.

  • Book-Entry Capital Security means a Capital Security, the ownership and transfers of which shall be made through book entries by a Clearing Agency as described in Section 5.11.

  • Presiding Member means the presiding member of a committee or the deputy presiding member, or a member of the committee when performing a function of the presiding member in accordance with the Act;

  • Restricted Global Security As defined in Section 3.01(c).

  • Defaulting Member the meaning set forth in Section 3.2(a).

  • Class B Member means a Member holding one or more Class B Ordinary Shares.