Regulated Persons definition

Regulated Persons means certain broker-dealers and registered investment advisers that are subject to prohibitions against participating in pay-to-play practices and are subject to the SEC’s oversight and, in the case of broker-dealers, the oversight of a registered national securities association, such as FINRA.

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Regulated Persons means a licensee, an investment fund, an investment fund administrator;

Regulated Persons means persons who are or were formerly (i) Dealer Members, including for greater certainty, members of the Corporation’s predecessors, (ii) members, users or subscribers of or to, or other entities that are allowed to trade directly on, Marketplaces for which the Corporation is the regulation services provider, (iii) the respective Approved Persons and other representatives of those persons set out in subsection (i) and (ii) , and (iv) other persons subject to the jurisdiction of the Corporation.

Examples of Regulated Persons in a sentence

Each of the Regulated Persons is in compliance with the terms and conditions of all Permits (including, without limitation, Permits with respect to engaging in gaming operations) necessary or advisable to own, lease, use and operate the properties and assets and to conduct and carry on the businesses described in the Offering Circular, other than where such failure to be in compliance would not, singly or in the aggregate, have a Material Adverse Effect.
In particular, there are no such proceedings, initiated or otherwise pending, against any of the Regulated Persons.
To our knowledge, none of the Regulated Persons has received notice that the Commission is considering limiting, conditioning, suspending, modifying, revoking or not renewing any such Permit.
To our knowledge, none of the Regulated Persons has received notice that the Colorado Gaming Commission is considering limiting, conditioning, suspending, modifying, revoking or not renewing any such Permit.
To the knowledge of the Issuers and the Subsidiary Guarantors, (i) no Governmental Authority is investigating any Regulated Person, other than ongoing general oversight investigations conducted in the ordinary course of business, and (ii) there is no basis for any of the Gaming Authorities to deny the renewal of the current Permits held by any of the Regulated Persons.

More Definitions of Regulated Persons

Regulated Persons means persons who are or were formerly (i) Dealer Members, (ii) members, users or subscribers of or to Marketplaces for which the Corporation is the regulation services provider, (iii) the respective representatives as designated in the Rules of any of the foregoing, and (iv) other persons subject to the jurisdiction of the Corporation.

Regulated Persons means persons who are or were formerly (i) Dealer Members, including members of the Corporation’s predecessors, (ii) members, users or subscribers of or to, or other entities that are allowed to trade directly on, Marketplaces for which the Corporation is the regulation services provider, (iii) the respective representatives as designated in the Rules of any of the foregoing, and (iv) other persons subject to the jurisdiction of the Corporation.

Regulated Persons means, generally, (1) brokers or dealers, or persons associated with a broker or dealer (which includes buy-side or sell-side analysts);

Regulated Persons means persons who are or were formerly (i) Dealer Members, (ii)

Regulated Persons has the meaning set forth in Section 25(a) of Schedule C.

Regulated Persons means a person, including generators, carriers, and receivers of subject waste required to report under and comply with the requirements of the Hazardous Waste Regulation.

Regulated Persons means, generally, (1) brokers or dealers, or persons associated with a broker or dealer (which includes buy-side or sell-side analysts); (2) investment advisers, investment managers or persons associated with an investment adviser or investment managers; (3) investment companies (including mutual funds) and certain entities that would be investment companies but for certain exceptions, or an affiliated person of any such entity; and (4) holders of any of the Company’s securities; provided that in the case of this clause (4) it is reasonably foreseeable that such holder will purchase or sell Company securities on the basis of selectively disclosed information. Given the potentially serious consequences of violations of Regulations, when in doubt assume that the recipient of the information is a Regulated Person and promptly consult the General Counsel or the head of Investor Relations.