Regulatory Services Provider definition

Regulatory Services Provider means the organization which provides regulatory services to BSEF pursuant to a Regulatory Services Agreement.

Regulatory Services Provider means the NFA and such other organizations, if any, that provide regulatory services to the Company, in each case, together with those certain employees and agents of any such organization that provide regulatory services to the Company.

Regulatory Services Provider means NFA and such other organizations, if any, that provide regulatory services to the Company, together with any such organization’s employees and agents.

Examples of Regulatory Services Provider in a sentence

• Notice to the Respondent, the Regulatory Services Provider and the Public The MarketAxess SEF will provide written notice of disciplinary proceedings to the parties and the Regulatory Services Provider consistent with applicable CFTC Regulations.

• To the extent required by Applicable Law or the Rules, each Participant must make its books and records available, upon request, to the MarketAxess SEF, the Regulatory Services Provider, and the CFTC.

• Any such recordings may be retained by the MarketAxess SEF or the Regulatory Services Provider in such manner and for such periods of time as the MarketAxess SEF may deem necessary or appropriate.

• Each Participant shall provide the Regulatory Services Provider with the same access to the Participant’s books and records and offices as the Participant is required to provide the MarketAxess SEF under the MarketAxess SEF Rules and Applicable Law.

• In accordance with a Regulatory Services Agreement, the Regulatory Services Provider may perform certain surveillance, investigative and/or regulatory functions under the MarketAxess SEF Rules and the MarketAxess SEF may provide information to the Regulatory Services Provider in connection with the performance by the Regulatory Services Provider of those functions.

More Definitions of Regulatory Services Provider

Regulatory Services Provider means the organization, if any, which provides regulatory services to the SEF pursuant to a Regulatory Services Agreement. The SEF’s Regulatory Services Provider is currently the NFA.

Regulatory Services Provider or “RSP,” means an organization, if any, that provides regulatory services to the MarketAxess SEF pursuant to a Regulatory Services Agreement.

Regulatory Services Provider means the NFA or other such organization, if any, which provides regulatory services to Tradition SEF pursuant to a Regulatory Services Agreement.

Regulatory Services Provider or “RSP” means the organization which provides regulatory services to Tera pursuant to a Regulatory Services Agreement. Tera’s RSP is the NFA.

Regulatory Services Provider means the organization, if any, which provides regulatory services to INFX SEF pursuant to a Regulatory Services Agreement.

Regulatory Services Provider means the organization, if any, which provides self- regulatory services to the Exchange.

Regulatory Services Provider means the organization, if any, which provides regulatory services to the Exchange pursuant to a Services Agreement.