SRO Member definition

SRO Member means a registered investment dealer or registered mutual fund dealer, which is a member, approved participant or similar participating organization of the SRO, provided that the Board may exclude any person or class of persons from this definition of SRO Member.
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SRO Member means National Association of Securities Dealers, Inc., a
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SRO Member means a securities dealer, broker or other firm which is a member, approved participant or similar participating organization of an SRO, provided that the directors may exclude any person or class of persons from this definition of SRO Member.
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Examples of SRO Member in a sentence

  • The Chief Executive Officer shall not, directly or indirectly, while so serving the Corporation, be engaged by, be in the employ of, or be an officer, director, direct or indirect shareholder or partner, as the case may be, of an SRO or of an SRO Member (other than, in the case of indirect shareholdings, an SRO Member forming part of a diversified financial services group).

  • All moneys and securities must be held by a qualified custodian, which are those entities considered suitable to hold securities on behalf of an SRO Member, for both inventory and client positions, without capital penalty, pursuant to the bylaws, rules or regulations of the SRO.

  • When an SRO Member (other than mutual fund dealers that exclusively maintain their customer accounts in Québec) is considered to be in financial difficulty by New IPF, New IPF may recommend to New SRO to take such action with respect to such SRO Member which is reasonable in the circumstances (and which is not contrary to law or to the requirements or order of any securities regulatory authority having jurisdiction in the matter) or take its own appropriate action as agreed to in the Industry Agreement.

  • Subject to Section 10(e) of this Agreement, the Board may change the number of the Directors and the composition of the Board from time to time at its discretion; provided, however, that the Board shall, at all times, include at least one SRO Member Director.

  • Relevant Criteria: Assistance to the SRO [New IPF] must assist the SRO when an SRO Member is in or is approaching financial difficulty.

  • Notwithstanding the provisions set forth in Section 10(d) regarding voting requirements, no action with respect to any Major Action (as defined below), shall be effective unless approved by consent of the SRO Member Director.

  • The goal is to disperse visitor pressure by attracting customers based on high profile attractions (e.g., Great Barrier Reef); once the customer is “captured” they work to “reduce growth of visitor pressure on icon sites by focusing on alternative regional ecotourism opportunities” (Tourism Queensland, 2002; AHC and CRC, 2001).

  • Nothing in this Section 9(c) shall be construed to allow the Business Member to require the SRO Member to act or fail to act in a manner that the SRO Member believes to be inconsistent with its regulatory obligations.

  • The SRO Member shall have the sole regulatory responsibility for the activities of the Company.

  • Each Director agrees to comply with the federal securities laws and the rules and regulations thereunder and to cooperate with the SEC and the SRO Member pursuant to their regulatory authority and the provisions of this Agreement.


More Definitions of SRO Member

SRO Member means National Association of Securities Dealers, Inc., a Delaware non-stock corporation, in its capacity as a member of the Company, and includes any of its permitted successors or assigns admitted to the Company pursuant to this Agreement.]
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SRO Member means Financial Industry Regulatory Authority, Inc., a Delaware non-stock corporation, in its capacity as a member of the Company, and includes any of its permitted successors or assigns admitted to the Company pursuant to this Agreement.
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SRO Member means [National Association of Securities Dealers]
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SRO Member means [National Association of Securities Dealers] Financial
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Related to SRO Member

  • Staff member means a staff member as defined in section 1(1) of the Public Service Act, 1995 (Act No. 13 of 1995);

  • Council Member means a member of the Council;

  • Founding Member means any individual who is either:

  • New member means a person first employed on or after Septem- ber 1, 2005, including a former member who withdrew retirement contributions under Government Code 822.003 and is reemployed on or after September 1, 2005.

  • Full Member means any person who is in one of the categories of membership referred to in Rule 10.2.

  • crew member means a person assigned by an operator to duty on an aircraft during a flight duty period;

  • lay member means a member of the Authority, who is not, nor has been:

  • Bona fide member means an individual who participates in activities of a qualified organization

  • Individual Member means a registered, financial Member of the Club who is at least 18 years of age.

  • Lead Member shall, in the case of a joint venture, mean the member of such joint venture who shall have the authority to bind the contractor and each member of the Joint venture; and shall be deemed to be the Contractor for the purposes of this Agreement; the Lead Member shall itself undertake and perform at least 51% (fifty one per cent) of the total length of the Project Highway;

  • Tribal Member means an enrolled member of the Tribe.

  • Service member means a member of the armed forces, a reserve branch of the armed forces, or the Michigan national guard.

  • Associate Member means a person appointed to perform specific statutory and non-statutory duties which have been delegated by the Trust Board for them to perform and these duties have been recorded in an appropriate Trust Board minute or other suitable record.

  • Affiliate Member means an individual who is an umpire, referee, coach or other official who is associated with the Association but who is not an Individual Member.

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

  • Related member means a person that, with respect to the taxpayer during all or any portion of the taxable year, is either a related entity, a component member as defined in section 1563(b) of the Internal Revenue Code, or a person to or from whom there is attribution of stock ownership in accordance with section 1563(e) of the Internal Revenue Code except, for purposes of determining whether a person is a related member under this division, "twenty per cent" shall be substituted for "5 percent" wherever "5 percent" appears in section 1563(e) of the Internal Revenue Code.

  • Limited Partner means any Person named as a Limited Partner on Exhibit A attached hereto, and any Person who becomes a Substitute Limited Partner, in such Person’s capacity as a Limited Partner in the Partnership.