Market Regulation Department definition

Market Regulation Department means all Exchange Officials and/or agents of the Exchange that assist the Exchange in the implementation, surveillance and enforcement of the Exchange Rules and other Obligations.
Sample 1Sample 2Sample 3
Market Regulation Department means all Company Officials and agents of the Company (including the Regulatory Services Provider) that assist the Company in the implementation, surveillance and enforcement of the Rules and other Company Requirements.
Sample 1Sample 2Sample 3
Market Regulation Department means the department within the SEF that regulates compliance with the SEF Rules. For purposes of the SEF Rules, Market Regulation Department may, as applicable, also include any Regulatory Services Provider pursuant to a Regulatory Services Agreement.
Sample 1Sample 2Sample 3

Examples of Market Regulation Department in a sentence

  • A Person seeking an exemption from position limits for bona fide commercial purposes shall apply to the Market Regulation Department on forms provided by the Exchange, and the Market Regulation Department may grant qualified exemptions in its sole discretion.

  • The Market Regulation Department has the authority to exercise its investigatory and enforcement power where potential rule violations are identified.

  • The Market Regulation Department may grant exemptions from the position limits for arbitrage, intracommodity spread, intercommodity spread, and eligible Option/Option or Option/Futures spread positions.

  • The Market Regulation Department may grant exemptions from position limits for bona fide hedge positions as defined by CFTC Regulation §1.3(z)(1) or any other applicable CFTC Regulation.

  • The Market Regulation Department may grant exemptions from the position limits for risk management positions.

  • Trading in the Contracts will be subject to Chapter 4, and the Market Regulation Department has the authority to exercise its enforcement power in the event rule violations in these products are identified.

  • In the event that a complaint is received by the Exchange from a Customer, it shall be referred to the Market Regulation Department, which shall inform the Customer of the NFA Arbitration Program.

  • As with any new product listed for trading on a CME Group designated contract market, trading activity in the option contract proposed herein will be subject to monitoring and surveillance by CME Group’s Market Regulation Department.

  • In the event that a complaint is received by the MarketAxess SEF from a Customer, it shall be referred to the Market Regulation Department, which shall inform the Customer of the NFA Arbitration Program.

  • The first position limit violation by a Participant will result in a warning letter issued by the Market Regulation Department, with a copy provided to the carrying Clearing Firm(s).


More Definitions of Market Regulation Department

Market Regulation Department means all MarketAxess SEF Officials and/or agents (including the Regulatory Services Provider) that assist the MarketAxess SEF in the implementation, surveillance and enforcement of the MarketAxess SEF Rules and other Obligations.
Sample 1Sample 2Sample 3
Market Regulation Department means all SEF Officials and/or agents of Tradition SEF (including the Regulatory Services Provider) that assist Tradition SEF in the surveillance of trading on the Platform and enforcement of the Rules and other Obligations.
Sample 1Sample 2Sample 3
Market Regulation Department means the department within the SEF that regulates compliance with the SEF Rules. For purposes of the SEF Rules, Market Regulation Department may, as applicable, also include the NFA pursuant to the Regulatory Services Agreement with the NFA.
Sample 1Sample 2
Market Regulation Department means the department within the SEF managed and overseen by the Chief Compliance Officer that regulates compliance with the SEF Rules. For purposes of the
Sample 1Sample 2Sample 3

Related to Market Regulation Department

  • Plan Asset Regulations means 29 CFR § 2510.3-101 et seq., as modified by Section 3(42) of ERISA, as amended from time to time.

  • the Department means the Department of the Environment;

  • Data Protection Regulation means Regulation (EU) 2016/679 of the European Parliament and of the Council of 27 April 20161 on the protection of natural persons with regard to the processing of personal data and on the free movement of such data, and repealing Directive 95/46/EC (General Data Protection Regulation);

  • CDM Regulations means the Construction (Design and Management) Regulations 2015;

  • CFTC Regulations means the rules and regulations promulgated by the CFTC, as amended.