Conduct Rules definition

Conduct Rules shall have the meaning set forth in Section 4(u) hereof.
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Conduct Rules shall have the meaning assigned thereto in Section 3(e)(xix) hereof.
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Conduct Rules shall have the meaning assigned thereto in Section 3(e)(xix) hereof. “Effective Time,” in the case of (i) an Exchange Offer Registration, shall mean the time and date as of which the Commission declares the Exchange Offer Registration Statement effective or as of which the Exchange Offer Registration Statement otherwise becomes effective and (ii) a Shelf Registration, shall mean the time and date as of which the Commission declares the Shelf Registration Statement effective or as of which the Shelf Registration Statement otherwise becomes effective.
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Examples of Conduct Rules in a sentence

  • All fee payments made by the Distributor hereunder are subject to reduction or chargeback so that the aggregate service fee payments and Advance Service Fee Payments do not exceed the limits on payments to Recipients that are, or may be, imposed by the NASD Conduct Rules.

  • Each party acknowledges and agrees to be bound by the Conduct Rules of the Financial Industry Regulatory Authority, Inc.

  • You shall comply with the applicable Federal and State laws and regulations where our Shares are offered for sale and conduct your affairs with us and with dealers, brokers or investors in accordance with the Conduct Rules of the National Association of Securities Dealers, Inc.

  • Each party agrees to abide by all of the NASD's rules and regulations, including the NASD's Conduct Rules -- in particular, Section 2830 of such Rules, which section is deemed a part of and is incorporated by reference in this Agreement.

  • In connection with its respective activities hereunder, each Party shall abide by the Conduct Rules of FINRA and all other rules of self-regulatory organizations of which it is a member, as well as all laws, rules and regulations, including federal and state securities laws, that are applicable to it (and its associated persons) from time to time in connection with its activities hereunder (“Applicable Laws”).


More Definitions of Conduct Rules

Conduct Rules means and includes the Company’s Conduct, Disciplinary and Appeal Rules as may be in force from time to time, read with terms and conditions of employment under the Company.
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Conduct Rules means the Conduct Rules of the NASD.
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Conduct Rules. , in relation to a body, means any rules or regulations (however they may be described) as to the conduct required of regulated persons;
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Conduct Rules means the Conduct Rules of FINRA.
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Conduct Rules means the Conduct Rules of the NASD, as amended, and the rules, regulations and interpretations (including examples and explanations) of the NASD in respect thereto, as the same may from time to time be amended or modified.
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Conduct Rules means the Conduct Rules adopted and approved in terms of the
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Conduct Rules means the Conduct Rules and the By-Laws of the Financial Industry Regulatory Authority.
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