Dual Members definition

Dual Members means those IEX members that are also members of FINRA and the associated persons therewith.
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Dual Members means those [ISE Mercury]MRX members that are also members of FINRA and the associated persons therewith.
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Dual Members means those [NSX]NYSE National members that are also members of FINRA and the associated persons therewith.
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Examples of Dual Members in a sentence

  • FINRA shall assume Regulatory Responsibilities and Enforcement Responsibilities for Dual Members.

  • Nothing contained in this Agreement shall restrict or in any way encumber the right of either party to conduct its own independent or concurrent investigation, examination or enforcement proceeding of or against Dual Members, as either party, in its sole discretion, shall deem appropriate or necessary.

  • FINRA shall assume responsibility to review the advertising of Dual Members subject to the Agreement, provided that such material is filed with FINRA in accordance with FINRA’s filing procedures and is accompanied with any applicable filing fees set forth in FINRA Rules.

  • Dual Members shall be required to send to FINRA all letters, termination notices or other material respecting the individuals listed in paragraph 8(a).

  • Accordingly, the proposed Plan promotes efficiency by reducing costs to Dual Members.

  • The Agreement includes a list of all those rules (“Common Rules”) for which FINRA has assumed examination, enforcement and surveillance responsibilities under the Agreement relating to compliance by Dual Members to the extent that such responsibilities involve member firm regulation.

  • FINRA eliminated NYSE Rule 412 and its interpretations from the Transitional Rulebook as part of a rule change to reduce regulatory duplication for Dual Members during the period before completion of the Consolidated FINRA Rulebook.

  • FINRA shall also be responsible for processing and, if required, acting upon all requests for the opening, address changes, and terminations of branch offices by Dual Members and any other applications required of Dual Members with respect to the Common Rules as they may be amended from time to time.

  • In applying the incorporated NYSE rules to Dual Members, FINRA also has incorporated the related interpretive positions set forth in the NYSE Rule Interpretations Handbook and NYSE Information Memos.

  • The Agreement includes a list of all of those rules (“Common Rules”) for which FINRA has assumed examination, enforcement and surveillance responsibilities under the Agreement relating to compliance by Dual Members to the extent that such responsibilities involve member firm regulation.


More Definitions of Dual Members

Dual Members means thoseCBOE members that are also members of NASD and the associated persons therewith.
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Dual Members means thoseISE members that are also members of FINRA and the associated persons therewith, but for purposes of this Agreement is limited to DE ECN and its associated persons.
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Related to Dual Members

  • Initial Members means those Persons whose names are set forth in the first sentence of this Agreement. A reference to an “Initial Member” means any of the Initial Members.

  • New Members As Defined By the Public Employees’ Pension Reform Act of 2013 (PEPRA)

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

  • Class B Members means any Persons to whom Class B Membership Units are issued, and any assignee or transferee of such Persons permitted under the terms of this Agreement, and any other Person admitted to the Company in the future as a Class B Member pursuant to the terms hereof. The names of the Class B Members, and the Percentage Interests allocated to each such Class B Member, shall be reflected in the books and records of the Company.

  • Associate Members means the individuals or firms which have agreed to Joint Venture in connection with the Project;

  • Additional Members means those Members, if any, admitted to the Company after the Effective Date.

  • Team Members means the members of the Team, jointly and severally;

  • Tribal Member means an enrolled member of the Tribe.

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

  • Majority in Interest of the Limited Partners means Limited Partners (other than the General Partner and any Limited Partner 50% or more of whose equity is owned, directly or indirectly, by the General Partner) holding Percentage Interests that in the aggregate are greater than fifty percent (50%) of the aggregate Percentage Interests of all Limited Partners (other than the General Partner and any Limited Partner 50% or more of whose equity is owned, directly or indirectly, by the General Partner).

  • Panel Member ’ means a member of a panel;

  • Voting Members has the meaning set forth in Section 4.07(b).

  • Original member of this retirement system means:

  • Founding Members means those public school districts, cities, counties, and other governmental units that are signatories to the Joint Powers Agreement and have a voting member serving on the JPA's Board of Directors.

  • General Member means a member subject to the provisions of

  • Initial Member has the meaning set forth in the introductory paragraph.

  • the Members means the members of the Club admitted from time to time to membership of the Club in accordance with Rule 5;

  • Class A Members means those Members who have purchased Class A Interests.

  • Members means all such Persons.

  • Annual Membership Fee shall have the meaning specified in the Credit Card Agreement applicable to each Account for annual membership fees or similar terms.

  • Consent of the Limited Partners means the Consent of a Majority in Interest of the Limited Partners, which Consent shall be obtained prior to the taking of any action for which it is required by this Agreement and may be given or withheld by a Majority in Interest of the Limited Partners, unless otherwise expressly provided herein, in their sole and absolute discretion.

  • Departing General Partner means a former General Partner from and after the effective date of any withdrawal or removal of such former General Partner pursuant to Section 11.1 or Section 11.2.

  • Full Member means any person who is in one of the categories of membership referred to in Rule 10.3.

  • Hosting Partners means companies who entered into an agreement with CIPC in the areas of application management; application hosting, application service provision, and marketplace hosting are incorporated in this category.

  • 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.

  • Special Member means, upon such person's admission to the Company as a member of the Company pursuant to Section 5(c), a person acting as Independent Director, in such person's capacity as a member of the Company. A Special Member shall only have the rights and duties expressly set forth in this Agreement.