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 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.
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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.
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Examples of Regulated Persons in a sentence

  • Gov't Code §2001.0045, Requirement for Rule Increasing Costs to Regulated Persons, does not apply to this proposed rule because the amendments will not increase costs to regulated persons.Public CommentComments on the proposed amendments may be submitted to Karen Gordon, PT Coordinator, Texas Board of Physical Ther- apy Examiners, 1801 Congress Ave, Suite 10.900, Austin, Texas 78701; email: karen@ptot.texas.gov.

  • The Disclosure Committee will make all decisions regarding the application of this Policy, the procedures to be followed, as well as any exceptions to the procedures.Except as set forth below, all proposed disclosures of MNPI about the Company to Regulated Persons, or participation in speeches, interviews or conferences where Regulated Persons may be in attendance, must be reviewed and approved in advance by one or more members of the Disclosure Committee.


More Definitions of Regulated Persons

Regulated Persons means a licensee, an investment fund, an investment fund administrator;
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Regulated Persons means, generally, (1) brokers or dealers, or persons associated with a broker or dealer (which includes buy-side or sell-side analysts);
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Regulated Persons has the meaning set forth in Section 25(a) of Schedule C.
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Regulated Persons means Mindset, the Mindset Subsidiary and each contractor or other person (including any distributor contract manufacturing organization or contract research organization) which, to the Knowledge of Mindset, is acting on behalf of Mindset or the Mindset Subsidiary in relation to a Company Product or Research Program.
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Regulated Persons means a licensee, an investment fund, an investment fund administrator or other person as prescribed;
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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.
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Related to Regulated Persons

  • Designated Person means a person or entity:

  • Related Persons means, with respect to any Person, each Affiliate of such Person and each director, officer, employee, agent, trustee, representative, attorney, accountant and each insurance, environmental, legal, financial and other advisor (including those retained in connection with the satisfaction or attempted satisfaction of any condition set forth in Article II) and other consultants and agents of or to such Person or any of its Affiliates.

  • Regulated Entity means any entity referred to in Section I of Article L.613-34 of the French Code monétaire et financier as modified by the 20 August 2015 Decree Law, which includes certain credit institutions, investment firms, and certain of their parent or holding companies established in France.

  • Related Person means, with respect to any specified Person, such Person’s Affiliates, and the respective officers, directors, employees, agents, advisors and attorneys-in-fact of such Person and its Affiliates.

  • Supervised Persons for purposes of this Code means:

  • Related Parties means, with respect to any specified Person, such Person’s Affiliates and the respective directors, officers, employees, agents and advisors of such Person and such Person’s Affiliates.