IIROC Rules definition

IIROC Rules means UMIR and IIROC’s dealer member rules. “Insider” means, for a Listed Issuer: an officer, director or “insider” (within the meaning of the Securities Act(Ontario)) of the Listed Issuer; a promoter of the Listed Issuer; if the Listed Issuer is an Investment Fund:
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IIROC Rules means UMIR and IIROC’s dealer member rules.
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IIROC Rules means the IIROC Dealer Member Rules, as amended;
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Examples of IIROC Rules in a sentence

  • The Exchange has implemented price bands to minimize erroneous trades from occurring on the Exchange in accordance with the requirements set out in IIROC Rules Notice and Guidance Note 15-0186 Guidance on Marketplace Thresholds.

  • The Exchange has implemented price bands to minimize erroneous trades from occurring on the Exchange in accordance withthe requirements set out in CIRO rules and guidance, as memorialized in IIROC Rules Notice and Guidance Note 15-0186 Guidance on Marketplace Thresholds.

  • The Respondent admits to the following contraventions of IIROC Rules, IDA By-Laws, Regulations or Policies:1) In September 2007, BMONB failed to maintain risk adjusted capital at a level greater than zero as calculated in accordance with Form 1 and was RAC deficient in the sum of $207 million and thereby contravened IIROC Rule 17.1. VI.

  • Section 3.3 does not provide proficiency requirements for dealing representatives of investment dealers since the IIROC Rules provide those requirements for the individuals who are approved persons of IIROC member firms.

Related to IIROC Rules

  • PPB Rules means the rules of the Procurement Policy Board as set forth in Title 9 of the Rules of the City of New York (“RCNY”), § 1-01 et seq.

  • FCA Rules means the Rules included within the FCA Handbook issued by the FCA.

  • FSA Rules meanss the rules, guidance, principles and codes comprised in the Handbook of Rules and Guidance issued by the FSA. The parties understand and agree that such categorisation is not intended to, and does not, affect the relationship between and among the parties under the 1940 Act or the Advisers Act.

  • ICC Rules means the Rules of Arbitration of the International Chamber of Commerce in effect on the date the applicable arbitration proceeding begins.

  • AIM Rules means the rules published by the London Stock Exchange governing admission to AIM and the regulation of AIM companies as amended or re-issued from time to time;

  • SIFT Rules means the provisions of the Tax Act, including those contained in sections 104, 122 and 122.1 of the Tax Act, which apply to the taxation of a “specified investment flow through trust” and its unitholders.

  • Regulatory Rules means all corporate and securities laws, regulations, rules, policies, notices, instruments and other orders of any kind whatsoever which may, from time to time, apply to the implementation, operation or amendment of this Plan or the Options granted from time to time hereunder including, without limitation, those of the applicable Regulatory Authorities.

  • Exchange Rules means the listing rules of The OTC Marketplace.

  • HIPAA Rules means the Privacy, Security, Breach Notification, and Enforcement Rules at 45 CFR Part 160 and Part 164.

  • School Rules means the body of rules of the School as may be amended from time to time for legal, safety or other substantive reasons, or in order to assist the proper administration of the School. A copy of the then current version of the rules is provided to each child on entry and is sent to parents with the Acceptance Form. Parents will be notified of subsequent changes to the rules;

  • Model Rules means the State of Oregon’s Attorney General’s model rules of procedure for Public Contracting, which are set forth in OAR Chapter 137, divisions 46, 47, 48, and 49, and required under ORS 279A.065.

  • QFC Stay Rules means the regulations codified at 12 C.F.R. 252.2, 252.81–8, 12 C.F.R. 382.1-7 and 12 C.F.R. 47.1-8, which, subject to limited exceptions, require an express recognition of the stay-and-transfer powers of the FDIC under the Federal Deposit Insurance Act and the Orderly Liquidation Authority under Title II of the Xxxx Xxxxx Wall Street Reform and Consumer Protection Act and the override of default rights related directly or indirectly to the entry of an affiliate into certain insolvency proceedings and any restrictions on the transfer of any covered affiliate credit enhancements.

  • Applicable Rules means Section 10D of the Exchange Act, Rule 10D-1 promulgated thereunder, the listing rules of the national securities exchange or association on which the Company’s securities are listed, and any applicable rules, standards or other guidance adopted by the Securities and Exchange Commission or any national securities exchange or association on which the Company’s securities are listed.