Examples of SEF Official in a sentence
Gifts and Gratuities Except as permitted in Writing by the Chief Compliance Officer, no Participant or Authorized Trader shall, directly or indirectly, give or permit to be given anything of value (including gratuities) to a SEF Official or BSEF, including any agents or independent contractors of BSEF.
No SEF Official will interfere with or attempt to influence the process or resolution of any inquiry, investigation, disciplinary or appeals proceeding, summary imposition of fines, summary suspension or other summary action.
Disclosing Orders Prohibited No Person shall disclose another Person’s RFQ or Order to buy or sell except to a designated SEF Official or the CFTC, and no Person shall solicit or induce another Person to disclose RFQ or Order information.
BSEF will not accept the registration as an Authorized Trader of any individual who is a SEF Official.
Prohibition of Misstatements It shall be an offense to make any knowing misstatement of a material fact to BSEF, any SEF Official, any Board committee or SEF panel, the Compliance Department and/or agents of BSEF (including the Regulatory Services Provider) or any Participant or any of its Account Managers, Authorized Traders or Supervised Persons.
Prohibition of Misstatements It shall be an offense to make any knowing misstatement of a material fact to BSEF, any SEF Official, any Board committee or SEF panel, the Compliance Department and/or agents of BSEF (including the Regulatory Services Provider) or any Participant or any of its Account Managers, Authorized Traders or Supervised Persons.RULE 510.
No SEF Official will interfere with or attempt to influence the process or resolution of a Disciplinary Action except to the extent provided under the SEF Rules with respect to a proceeding in which the SEF Official is a member of the relevant panel.
Disclosing Orders Prohibited No Participant shall disclose another Customer’s Order to buy or sell except to a designated MarketAxess SEF Official or the CFTC, and no Participant shall solicit or induce another Participant to disclose Order information.
Prohibition of Misstatements No Participant shall make any knowing false or misleading statement of a material fact, or omit to state any material fact that is necessary to make such statement not misleading, to the MarketAxess SEF, any MarketAxess SEF Official or any Board committee or MarketAxess SEF panel.
Rule 1001(d) shall not prohibit a MarketAxess SEF Official, agent or independent contractor of the MarketAxess SEF from disclosing material, non-public information while discharging his or her official duties and responsibilities, including disclosures to another Self-Regulatory Organization, linked MarketAxess SEF, court of competent jurisdiction, or a representative of any agency or department of the federal or state government.