Examples of Authorized Trader in a sentence
Upon request of the SEF or its Regulatory Services Provider, each Participant (and each Authorized Trader) shall promptly provide to the Market Regulation Department or the Regulatory Services Provider (i) the names of its Customers, Client or Sponsored Participants (if applicable) and (ii) such information about Authorized Traders as the SEF requests.
Unless timely notice of appeal is filed pursuant to Rule 716, the fine will become final upon the expiration of twenty (20) days after the notice of fine is served on the Participant or Authorized Trader, as the case may be.(c) The Exchange will set the amount of any fines imposed pursuant to this Rule 717, with the maximum fine for each violation not to exceed $5,000.
Any Exchange Proceeding relating to an Authorized Trader or Authorized Broker shall occur as if the Authorized Trader or Authorized Broker were still registered as such.
The SEF may hold an Authorized Trader liable for, and impose sanctions against such Authorized Trader for, such Authorized Trader’s own acts and omissions that constitute a violation as well as or for the acts and omissions of any agent or representative of such Authorized Trader that constitute a violation as if such violation were that of the Authorized Trader.
After revocation or termination of the designation of an Authorized Trader, the Authorized Trader remains subject to the SEF Rules, the Obligations and the jurisdiction of the SEF for acts done and omissions made while an Authorized Trader.