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.
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 a licensee, an investment fund, an investment fund administrator;

Examples of Regulated Persons in a sentence

  • Gov't Code.Requirement for Rules Increasing Costs to Regulated Persons.

  • The Regulated Persons Index is a database containing the names, ad- dresses, phone/fax numbers and finan- cial responsibility information, where applicable, of Commission-regulated entities.

  • All such Rules for the time being in force, unless expressly otherwise provided, shall be binding upon all Regulated Persons.

  • Any suspension or modification may be made either before or after the relevant By-law or Rule has become effective, and notice of the suspension or modification shall be given promptly to all Regulated Persons and to the securities regulatory authority in any jurisdiction where such By-law or Rule would otherwise be in effect.

  • The Board may suspend or modify the application of any By-law or Rule, or provision thereof, for such period of time as it may determine in its sole discretion in order to facilitate the orderly application of and compliance with such By-law or Rule to or by all or any number or class of Regulated Persons.

  • Commodity Pool Operators; Exclusion for Certain Otherwise Regulated Persons From the Definition of the Term “Commodity Pool Operator,” Final Rules, 50 Fed.

  • Provided that Regulated Persons which fall under points (iii) and (iv) of the definition of ‘Regulated Person’ in the Glossary shall adhere to this requirement insofar as they provide Insurance-based investment product.

  • Costs to Regulated Persons Texas Government Code §2001.0045(b) does not apply to this rulemaking because the Public Utility Commission is expressly excluded under subsection §2001.0045(c)(7).

  • Furthermore, any Advertisements issued by the Regulated Persons should be fair, clear and not misleading.

  • Costs to Regulated Persons Texas Government Code §2001.0045(b) does not apply to this rulemaking because the commission is expressly excluded under subsection §2001.0045(c)(7).


More Definitions of Regulated Persons

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.
Regulated Persons has the meaning set forth in Section 25(a) of Schedule C.
Regulated Persons means a licensee, an investment fund, an investment fund administrator or other person as prescribed;
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 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.

Related to Regulated Persons

  • regulated person means a person whose collection activities are confined and are directly related to the operation of a business other than that of a collection agency including any of the following:

  • Regulated party means a person who, pursuant to section 95484(a), must meet the average carbon intensity requirements in section 95482 or 95483.

  • Designated Persons means a person or entity (a) listed in the annex to, or otherwise subject to the provisions of, any Executive Order; (b) named as a “Specially Designated National and Blocked Person” (“SDN”) on the most current list published by OFAC at its official website or any replacement website or other replacement official publication of such list (the “SDN List”) or is otherwise the subject of any Sanctions Laws and Regulations; (c) in which an entity or person on the SDN List has 50% or greater ownership interest or that is otherwise controlled by an SDN.

  • Regulated Entities means to include the following:

  • Affiliated Persons or "AFFILIATES" means

  • Designated Person means a person or entity:

  • Unrelated Person means any Person other than (i) a Subsidiary of Borrower or (ii) an employee stock ownership plan or other employee benefit plan covering the employees of Borrower and its Subsidiaries.

  • Associated Persons means the directors, employees (whether full-time, part-time or casual), Related Bodies Corporate, agents, contractors, advisors and owners of Tabcorp and the Venue Operator, respectively, (as is applicable).

  • interested persons and "Assignment" shall have their respective meanings as set forth in the 1940 Act, subject, however, to such exemptions as may be granted by the Commission under the 1940 Act or any interpretations of the Commission staff.

  • Permitted Persons means (A) the Company; (B) any Related Party; or (C) any group (as defined in Rule 13b-3 under the Exchange Act) comprised of any or all of the foregoing.

  • Agent-Related Persons means Agent, together with its Affiliates, officers, directors, employees, attorneys, and agents.

  • 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.

  • Prohibited Persons As defined in Section 39.1.

  • 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:

  • Rule 506(d) Related Party means, with respect to any Person, any other Person that is a beneficial owner of such first Person’s securities for purposes of Rule 506(d) under the Securities Act.

  • regulated product means a consumer product for which a VOC standard is specified in section 94509(a), and

  • Local Authority Associated Persons means any person associated with any local authority within the meaning given in section 69 of the Local Government and Housing Act 1989;

  • Obligated Person means any person, including the Issuer, who is either generally or through an enterprise, fund, or account of such person committed by contract or other arrangement to support payment of all, or part of the obligations on the Bonds (other than providers of municipal bond insurance, letters of credit, or other liquidity facilities), as shown on Exhibit A.

  • Exculpated Parties shall have the meaning set forth in Section 13.1 hereof.

  • Related Parties means, with respect to any Person, such Person’s Affiliates and the partners, directors, officers, employees, agents, trustees, administrators, managers, advisors and representatives of such Person and of such Person’s Affiliates.

  • Excepted Persons The meaning specified in Section 12.13(a).

  • regulated profession means a regulated profession as defined in Article 3(1)(a) of Directive 2005/36/EC.

  • Purchaser Related Parties has the meaning specified in Section 6.1.

  • prescribed person , in relation to a delivery, means—